0001204459-11-001609.txt : 20110608 0001204459-11-001609.hdr.sgml : 20110607 20110607173140 ACCESSION NUMBER: 0001204459-11-001609 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110608 DATE AS OF CHANGE: 20110607 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42707 FILM NUMBER: 11899427 BUSINESS ADDRESS: STREET 1: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2126333300 MAIL ADDRESS: STREET 1: 122 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 SC 13D/A 1 sc13da.htm SCHEDULE 13D/A Aletheia Research & Management, Inc.: Schedule 13D/A - Filed by newsfilecorp.com

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 9)

BARNES & NOBLE, INC.
(Name of Issuer)

Common Stock, $.001 par value
(Title of Class of Securities)

067774109
(CUSIP Number)

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

Mr. Peter J. Eichler, Jr.
Aletheia Research & Management, Inc.
100 Wilshire Boulevard, Suite 1900
Santa Monica, CA 90401
(310)-899-0800

June 1, 2011
(Date of event which requires filing of this statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4) check the following box [  ].

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.


SCHEDULE 13D

 

CUSIP No.     067774109

          Page 2 of 6 Pages

1.

NAMES OF REPORTING PERSONS
S.S. or I.R.S. Identification Nos. of above persons.

Aletheia Research & Management, Inc., IRS No. 95-4647814

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

 

(a) [    ]

(b) [    ]

3.

SEC USE ONLY


 

4.

SOURCE OF FUNDS*


WC, OO

5.

CHECK  BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
 

[   ]

6.

CITIZENSHIP OR PLACE OF ORGANIZATION


United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

7.

SOLE VOTING POWER



5,211,645 shares of Common Stock

8.

SHARED VOTING POWER
 


0

9.

SOLE DISPOSITIVE POWER
 


5,211,645 shares of Common Stock

10.

SHARED DISPOSITIVE POWER
 


0

11.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON


5,211,645 shares of Common Stock

12.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
 

[   ] 

13.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)


8.65%

14.

TYPE OF REPORTING PERSON (See Instructions)


IA

 

 

 

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Item 1. Security and Issuer.

This statement relates to the Common Stock, $.001 par value per share (the "Common Stock"), of Barnes & Noble, Inc., a Delaware corporation (the "Issuer"). The Issuer maintains its principal executive office at 122 Fifth Avenue, New York, New York 10011.

Item 2. Identity and Background.

(a)         This statement is filed by Aletheia Research & Management, Inc., a California corporation ("Aletheia"), with respect to shares of the Issuer’s Common Stock held by managed accounts over which Aletheia has discretionary authority and through partnerships with respect to which Aletheia serves as general partner. Peter J. Eichler, Jr. is the Chief Executive Officer of Aletheia.

(b)-(f) Aletheia filed an initial Schedule 13D for an event of November 30, 2009 (the "Initial Schedule"), an Amendment No. 1 for an event of January 8, 2010, an Amendment No. 2 for an event of January 25, 2010, an Amendment No. 3 for an event of January 31, 2010, an Amendment No. 4 for an event of May 18, 2010, an Amendment No. 5 for an event of September 9, 2010, an Amendment No. 6 for an event of October 19, 2010, an Amendment No. 7 for an event of December 17, 2010, and an Amendment No. 8 for an event of April 20, 2011 (collectively, the "Previous Amendments"). Except to the extent set forth in this Amendment, the information in the Initial Schedule and Previous Amendments remains unchanged. The filing of any amendment to this Schedule 13D (including the filing of this Amendment No. 9) shall not be construed to be an admission by Aletheia that a material change has occurred in the facts set forth in this Schedule 13D or that such amendment is required under Rule 13d-2 of the Securities Exchange Act, as amended.

Item 3. Source and Amount of Funds or Other Consideration.

Aletheia owns 5,211,645 shares of the Issuer’s Common Stock on behalf of managed accounts and partnerships with respect to which Aletheia serves as general partner. Such managed accounts and partnerships have collectively paid $98,317,462 from their working capital for such shares.

Item 5. Interest in Securities of the Issuer.

(a)         The number of shares of the Issuer’s Common Stock and the percentage of the outstanding shares (based upon 60,247,771 shares of Common Stock outstanding as reported in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended January 29, 2011) directly or indirectly beneficially owned by the Reporting Person is as follows:

          Percentage of  
Name   Number of Shares     Outstanding Shares  
             
Aletheia   5,211,645     8.65%  

(b)         Aletheia has sole power to vote and sole power to dispose or to direct the disposition of 5,211,645 shares of the Issuer’s Common Stock.

(c)          See Appendix 1 annexed hereto.


(d)         Certain persons have the right to receive dividends from or the proceeds of sale of certain of the shares of the Issuer’s Common Stock included in this statement. No such person individually has the right to receive dividends or proceeds relating to shares of the Issuer’s Common Stock constituting more than 5% of the class of the Issuer’s Common Stock.

(e)          Not applicable.

Signatures

          After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: June 7, 2011

  ALETHEIA RESEARCH & MANAGEMENT, INC.
       
  By: /s/ Peter J. Eichler, Jr.  
    Peter J. Eichler, Jr.  
    Chief Executive Officer  

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APPENDIX I
TRANSACTIONS IN BARNES & NOBLE, INC.
COMMON STOCK - SINCE LAST FILING

      Average      
  Number of   Share Price     Average
  Shares Purchase for Number of   Share Price
Trade Date Purchased Price Purchases Shares Sold Sales Price for Sales
             
04/25/11 0 0   129,885 1,262,114 9.72
04/26/11 808 8,125 10.06 99,767 986,642 9.89
04/27/11 584 5,995 10.26 148,035 1,483,424 10.02
04/28/11 372 3,942 10.60 44 480 10.92
04/29/11 1,515 16,825 11.11 4,490 49,515 11.03
05/02/11 640 6,888 10.76 2,187 23,446 10.72
05/03/11 1,950 20,562 10.54 4,395 45,983 10.46
05/04/11 0 0   965 11,690 12.11
05/05/11 197 2,496 12.67 335 3,822 11.41
05/06/11 1,576 22,788 14.46 140 1,945 13.89
05/09/11 716 9,852 13.76 240 3,324 13.85
05/10/11 75 1,032 13.76 208 2,750 13.22
05/11/11 262 4,046 15.44 802 11,444 14.27
05/12/11 265 3,602 13.59 2,645 35,707 13.50
05/13/11 1,141 15,836 13.88 365 5,092 13.95
05/16/11 0 0   205 2,780 13.56
05/17/11 0 0   105 1,457 13.88
05/18/11 119 1,714 14.41 590 8,154 13.82
05/19/11 0 0   13,025 181,973 13.97
05/20/11 30,227 562,092 18.60 15,080 276,382 18.33
05/23/11 440 8,162 18.55 4,382 81,154 18.52
05/24/11 649 12,514 19.28 265 5,055 19.08
05/25/11 51 984 19.29 945 18,168 19.23
05/26/11 0 0   71,465 1,379,797 19.31
05/27/11 69 1,339 19.40 30,223 586,966 19.42
05/31/11 79 1,563 19.79 4,360 86,105 19.75
06/01/11 51 969 19.00 171,759 3,245,724 18.90
06/02/11 0 0   154,075 2,874,781 18.66
06/03/11 262 4,828 18.43 344,988 6,416,873 18.60

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