-----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, RY+dxt0e97q/Ox7Cru+YZvIi/14OFtDCQm1VXiBdiUDMxf9SI0oZRlvGyXkwllNe cJkBKQ3DjJu/vj4ZopoR3Q== 0001173473-06-000271.txt : 20061204 0001173473-06-000271.hdr.sgml : 20061204 20061204115150 ACCESSION NUMBER: 0001173473-06-000271 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061204 DATE AS OF CHANGE: 20061204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Audio Stocks, Inc. CENTRAL INDEX KEY: 0001355242 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 352232483 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-82224 FILM NUMBER: 061253165 BUSINESS ADDRESS: STREET 1: 580 SECOND STREET STREET 2: SUITE 102 CITY: ENCINITAS STATE: CA ZIP: 92024 BUSINESS PHONE: 760-230-2300 MAIL ADDRESS: STREET 1: 580 SECOND STREET STREET 2: SUITE 102 CITY: ENCINITAS STATE: CA ZIP: 92024 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAUM MARK L CENTRAL INDEX KEY: 0001274282 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 249 SOUTH HIGHWAY 101 CITY: SOLANA BEACH STATE: CA ZIP: 92075 SC 13D 1 schedule13d120406.htm SCEDULE 13D (12-04-06) Scedule 13D (12-04-06)



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


SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. ______)*
 
AUDIOSTOCKS, INC.
(Name of Issuer)
 
Common Stock, $.001 par value
(Title of Class of Securities)
 
050751
(CUSIP Number)
 
Philip L. Morgan
2038 Corte Del Nogal, Suite 110
Carlsbad, CA 92011
760-804-8844
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
December 4, 2006
(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 that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ]

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on 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 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).



CUSIP No. 050751


 
1.
 
Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).
 
 
Mark L. Baum
 
2.
 
Check the Appropriate Box if a Member of a Group
 
(a)
(b)
 
3.
 
SEC Use Only
 
 
4.
 
Source of Funds
 
OO
 
5.
 
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
 
 
6.
 
Citizenship or Place of Organization
 
USA
 
 
Number of Shares Beneficially Owned by Each Reporting Person With:
 
 
7.
 
Sole Voting Power
 
34,262
 
8.
 
Shared Voting Power
 
7,442,190
 
9.
 
Sole Dispositive Power
 
34,262
 
10.
 
Shared Dispositive Power
 
7,442,190
 
11.
 
Aggregate Amount Beneficially Owned by Each Reporting Person
 
7,476,452
 
12.
 
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
 
 
13.
 
Percent of Class Represented by Amount in Row (11)
 
43.4%
 
14.
 
Type of Reporting Person (See Instructions)
 
IN

 
Item 1. Security and Issuer
 
Title of Class of Equity Securities: Common Stock, $.001 par value

Address of Issuer:    2038 Corte Del Nogal, Suite 110, Carlsbad, CA 92011

Item 2. Identity and Background
 
(a) Mark L. Baum

(b) 2038 Corte Del Nogal, Suite 110, Carlsbad, CA 92011

(c) Director, Audiostocks, Inc., 2038 Corte Del Nogal, Suite 110, Carlsbad, CA 92011

(d) Reporting person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) during the last five years.

(e) Reporting person has not been a party to a civil proceeding of a judicial or administrative body resulting in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such laws.

(f) USA

Item 3. Source and Amount of Funds or Other Consideration
 
34,262 shares of Audiostocks, Inc. held by Mr. Baum were issued for consulting services rendered.
 
14,884,380 shares of Audiostocks, Inc. are held by BCGU, LLC and were purchased in a private transaction. Mr. Baum is a managing member of BCGU, LLC and a beneficial owner of 50% of the Audiostocks, Inc. shares held by BCGU, LLC.
 
Item 4. Purpose of Transaction

See Item 3 above.

(a) Not Applicable.

(b)  Not Applicable.

(c)  Not Applicable.

(d) Not Applicable.

(e)  Not Applicable.

(f)  Not Applicable.

(g)  Not Applicable.

(h) Not Applicable.

(i) Not Applicable.

(j) Not Applicable.

Item 5. Interest in Securities of the Issuer
 
1. (a) The aggregate number of shares of common stock to which this Schedule 13D relates is 7,476,452 shares, representing 43.4% of the 17,216,308 shares of Audiostocks, Inc.’s common stock outstanding as of November 26, 2006.
 
    (b) Mr. Baum has sole voting power over 34,262 shares of Audiostocks, Inc. common stock. Mr. Baum has 50% voting and dispositive power over 14,884,380 shares of Audiostocks, Inc. common stock held by BCGU, LLC. Mr. Baum is a managing member of BCGU, LLC.
   
    (c) See Item 3, above.
 
    (d) Not Applicable.
 
    (e) Not Applicable.
 
Item 6.
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
 
See Item 3, above.
 
Item 7. Material to Be Filed as Exhibits
 
Not Applicable
 
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
December 4, 2006                          /s/ Mark L. Baum
_______________________________
Mark L. Baum
                                            Its: Director

.

 
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