-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FB4tC2HCamnrUHsvBJ80CuU7sMOs73a6FSUyBqqlsdhOPvhKT9kXIS/RE902bJNI msaqmd/IvOIHjPkV4iupCg== 0001169232-08-002108.txt : 20080516 0001169232-08-002108.hdr.sgml : 20080516 20080515182748 ACCESSION NUMBER: 0001169232-08-002108 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080516 DATE AS OF CHANGE: 20080515 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WorldSpace, Inc CENTRAL INDEX KEY: 0001315054 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 521732881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80914 FILM NUMBER: 08839862 BUSINESS ADDRESS: STREET 1: 2400 N STREET, NW CITY: WASHINGTON STATE: DC ZIP: 20037 BUSINESS PHONE: (202)969-6000 MAIL ADDRESS: STREET 1: 2400 N STREET, NW CITY: WASHINGTON STATE: DC ZIP: 20037 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 d74310_sc13d.txt AMENDMENT NO. 6 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) WORLDSPACE, INC. (Name of Issuer) Class A Common Stock, $.01 par value (Title of Class of Securities) 981579105 (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Mr. Roger B. Peikin Aletheia Research & Management, Inc. 100 Wilshire Boulevard, Suite 1960 Santa Monica, CA 90401 (310)-899-0800 May 14, 2008 (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. 981579105 Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON 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 - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 16,168,494 shares of Class A Common Stock. ----------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 16,168,494 shares of Class A Common Stock. WITH ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 16,168,494 shares of Class A 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) 38.15% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 1. Security and Issuer. This statement relates to the Class A Common Stock, $.01 par value per share (the "Class A Common Stock"), of Worldspace, Inc., a Delaware corporation (the "Issuer"). The Issuer maintains its principal executive office at 8515 Georgia Avenue, Silver Spring, MD 20910. 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. (b) Aletheia filed an initial Schedule 13D for an event of February 27, 2007 (the "Initial Schedule"), an Amendment No. 1 for an event of June 13, 2007, an Amendment No. 2 for an event of July 27, 2007, an Amendment No. 3 for an event of October 4, 2007, an Amendment No. 4 for an event of December 7, 2007 and an Amendment No. 5 for an event of February 5, 2008 (the "Previous Amendments"). Except to the extent set forth in this Amendment, the information in the Initial Schedule and the Previous Amendments remains unchanged. Item 3. Source and Amount of Funds or Other Consideration. Aletheia owns 16,168,494 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 $60,781,101 from their personal funds or 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 42,473,129 shares of Common Stock outstanding as reported in the Issuer's Quarterly Report on Form 10-Q for the quarterly period ended December 31, 2007) directly or indirectly beneficially owned by the Reporting Person is as follows: Percentage of Name Number of Shares Outstanding Shares - ---- ---------------- ------------------ Aletheia 16,168,494 38.15% (b) Aletheia has sole power to vote and sole power to dispose or to direct the disposition of 16,168,494 shares of the Issuer's Common Stock. (c) See Appendix 1 annexed hereto. 3 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: May 14, 2008 ALETHEIA RESEARCH & MANAGEMENT, INC. By: /s/ Roger B. Peikin ----------------------------------- Roger B. Peikin, Executive Vice President 4 - -------------------------------------------------------------------------------- APPENDIX I TRANSACTIONS IN WORLDSPACE, INC. COMMON STOCK IN PAST 60 DAYS - -------------------------------------------------------------------------------- 1. Aletheia Insider Index, L.P. and Aletheia Insider Index II, L.P. - -------------------------------------------------------------------------------- PURCHASES SALES - -------------------------------------------------------------------------------- Average Total Average Total Transaction Total No. of Purchase Purchase Total No. Sales Sales Date Shares Price Price of Shares Price Price - -------------------------------------------------------------------------------- 3/31/08 17,223 $1.33 $26,002 - -------------------------------------------------------------------------------- 4/30/08 (7,055) $1.46 $(10,318) - -------------------------------------------------------------------------------- Grand Total $26,002 $(10,318) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 2. Managed Accounts - -------------------------------------------------------------------------------- PURCHASES SALES - -------------------------------------------------------------------------------- Average Total Average Total Transaction Total No. of Purchase Purchase Total No. Sales Sales Date Shares Price Price of Shares Price Price - -------------------------------------------------------------------------------- 3/10/08 9,341 $1.05 $9,808 (2,865) $0.99 $(2,841) 3/11/08 12,663 1.06 13,423 (53,400) 1.02 (54,393) 3/12/08 14,447 1.00 14,447 (16,270) 0.97 (15,729) 3/13/08 4,810 1.02 4,906 (2,205) 1.00 (2,196) 3/14/08 19,816 1.11 21,996 (600) 1.11 (667) 3/17/08 11,654 1.16 13,519 (7,510) 1.13 (8,494) 3/18/08 59,974 1.20 71,969 (3,042) 1.16 (3,538) 3/19/08 23,290 1.27 29,578 (6,741) 1.24 (8,374) 3/20/08 24,692 1.35 33,334 (130) 1.31 (170) 3/24/08 29,738 1.36 40,444 (1,735) 1.34 (2,322) 3/25/08 32,145 1.40 45,003 (3,980) 1.39 (5,541) 3/26/08 7,628 1.40 10,679 (24,740) 1.31 (32,427) 3/27/08 10,176 1.21 12,313 (22,000) 1.14 (24,972) 3/28/08 20,850 1.44 30,024 (845) 1.35 (1,139) 3/31/08 28,733 1.33 38,215 (3,970) 1.39 (5,504) 4/1/08 1,487 1.65 2,454 (34,076) 1.53 (52,074) 4/2/08 7,048 1.63 11,488 (3,650) 1.54 (5,614) 4/3/08 49,569 1.67 82,780 (3,321) 1.51 (5,013) 4/4/08 12,061 1.63 19,659 (4,830) 1.55 (7,471) 4/7/08 12,628 1.59 20,079 (517) 1.53 (792) 4/8/08 40,337 1.58 63,732 (2,395) 1.54 (3,696) 4/9/08 25,656 1.61 41,306 (665) 1.57 (1,041) 4/10/08 20,639 1.77 36,531 (1,465) 1.70 (2,495) 4/11/08 7,247 1.65 11,958 (12,810) 1.62 (20,787) 4/14/08 97,994 1.52 148,951 (91,206) 1.49 (136,090) 4/15/08 9,067 1.48 13,419 (115) 1.46 (168) 4/16/08 5,163 1.38 7,125 (440) 1.34 (588) 4/17/08 5,196 1.45 7,534 (329) 1.43 (470) 4/18/08 984 1.58 1,555 (1,955) 1.56 (3,057) 4/21/08 10,090 1.53 15,438 (1,311) 1.48 (1,936) 4/22/08 24,532 1.46 35,817 (1,835) 1.45 (2,669) 5 - -------------------------------------------------------------------------------- 4/23/08 14,512 1.48 21,478 (70) 1.40 (98) 4/24/08 11,973 1.49 17,840 (2,352) 1.43 (3,364) 4/25/08 9,035 1.49 13,462 (1,530) 1.41 (2,154) 4/28/08 25,336 1.58 40,031 (48) 1.60 (77) 4/29/08 6,899 1.46 10,073 (1,358) 1.61 (2,183) 4/30/08 5,312 1.59 8,446 (17,566) 1.56 (27,403) 5/1/08 38,935 1.58 61,517 (27,025) 1.48 (39,923) 5/2/08 36,739 1.51 55,476 (7,010) 1.49 (10,445) 5/5/08 10,540 1.54 16,232 (564) 1.47 (829) 5/6/08 12,609 1.61 20,300 (4,440) 1.59 (7,040) 5/7/08 25,315 1.62 41,010 (211) 1.59 (336) 5/8/08 14,268 1.92 27,395 (1,649) 1.52 (2,503) 5/9/08 5,571 1.58 8,802 (61) 1.55 (95) 5/12/08 8,327 1.63 13,573 (1,522) 1.61 (2,446) - -------------------------------------------------------------------------------- Grand Total $1,265,118 $(511,165) - -------------------------------------------------------------------------------- 6 -----END PRIVACY-ENHANCED MESSAGE-----