-----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, U7siWu3+MBnwZu9AgGOiPFoYXoZCiqmKOs0dst+W8bV82OnOrtdp5OECUAlJlJgS VfJm3EbV+EAooYsCpJ2ehA== 0000950103-02-001063.txt : 20021101 0000950103-02-001063.hdr.sgml : 20021101 20021101161016 ACCESSION NUMBER: 0000950103-02-001063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021031 FILED AS OF DATE: 20021101 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BERTELSMANN AG CENTRAL INDEX KEY: 0001087051 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O WALTER CONSTON ALEXANDER & GREEN PC STREET 2: 90 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10016-1387 MAIL ADDRESS: STREET 1: C/O WALTER CONSTON ALEXANDER & GREEN PC STREET 2: 90 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10016-1387 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARNESANDNOBLE COM INC CENTRAL INDEX KEY: 0001069665 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL- COMPUTER & PRERECORDED TAPE STORES [5735] IRS NUMBER: 134048787 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26063 FILM NUMBER: 02806885 BUSINESS ADDRESS: STREET 1: 76 NINTH AVE STREET 2: 11TH FL CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 2124146000 MAIL ADDRESS: STREET 1: 76 NINTH AVE STREET 2: 11TH FL CITY: NEW YORK STATE: NY ZIP: 10011 4 1 oct3102_form4-bn.htm Untitled Document

 

FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
o Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). OMB Number:     3235-0287
Expires:    January 31, 2005
Estimated average burden
hours per response.........0.5
(Print or Type Responses)  

1. Name and Address of Reporting Person*




Bertelsmann AG
2. Issuer Name and Ticker or Trading Symbol




barnesandnoble.com inc (bnbn)

6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

      o Director              x 10% Owner
      o Officer                o Other (specify below)
          (give title below)


               

    (Last)                    (First)                   (Middle)



Carl-Bertelsmann-Strauss 270
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)      4. Statement for Month/Day/Year



10/30/02 and 10/31/02
                                (Street)




33311 Gutersloh Germany
5. If Amendment, Date of Original (Month/Day/Year)



7. Individual or Joint/Group Filing (Check
Applicable Line)
 

     o Form filed by One Reporting Person
     x Form filed by More than One Reporting Person
   (City)                      (State)                    (Zip) Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
 1. Title of Security
(Instr. 3)
 
 2. Trans-
action Date
 
(Month/
Day/
Year)
 2A. Deemed
Execution Date,

if any (Month/
Day/Year)
3. Trans-
action Code
(Instr. 8)
 
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of
Securities
Beneficially Owned
Following Reported
Transaction(s)
(Instr. 3 and 4)
 
6. Owner-
ship Form: Direct (D) or Indirect (I) (Instr. 4)
 
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
 
Code V Amount (A) or (D) Price
 Class A Common Stock 10/30/02     P    35,000  A $1.1421    (1) 
 Class A Common Stock 10/31/02     P    35,000  A $1.2139   70,000 (1) 
                     
                     
                     
                     

FORM 4 (continued)

Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)

2. Conver-
sion or Exercise Price of Derivative Security

 
3. Trans-
action Date (Month/
Day/Year)
 
3A. Deemed
Execution Date,
if any, (Month/
Day/Year)
 
4. Trans-
action Code
(Instr. 8)
 
5. Number of Derivative Securites Acquired (A) or Disposed of (D) (Instr. 3,
4 and 5)
 
6. Date Exercisable and Expiration Date (Month/Day/Year)  7. Title and Amount of Underlying Securities (Instr. 3 and 4)  8. Price of Derivative Security (Instr. 5)  9. Number of Derivative Securities Beneficially Owned Following Reported Trans-
action(s) (Instr. 4)
 

10. Owner-
ship Form of Derivative Securities: Direct(D)
or Indirect(I)
(Instr. 4) 

11. Nature of Indirect Beneficial Ownership (Instr. 4)  
 Code V (A) (D) Date Excer-
cisable
Expira-
tion Date
Title Amount or Number of Shares
                               
                               
                               
                               
                               

Explanation of Responses:

(1) The shares are directly owned by BOL.US Online Inc., a wholly owned subsidiary of Bertelsmann AG.
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

 

/s/ Robert J. Sorrentino    11/1/02 

 
** Signature of Reporting Person   Date
Bertelsmann AG     
By: Robert J. Sorrentino, Attorney-in-fact
       Dr. Ewald Walgenbach
       Title: CEO DirectGroup Bertelsmann, Member
       of the Executive Board of Bertelsmann AG 
   

 

*   If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**   Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
 Note:   File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

JOINT FILER INFORMATION

Name: BOL.US Online, Inc.
Address: 1540 Broadway
New York, New York
Designated Filer: Bertelsmann AG
Issuer and Ticker Symbol: barnesandnoble.com inc (bnbn)
Statement for Month/Day/Year: 10/30/02 and 10/31/02

 

 

Signature:    BOL.US Online, Inc.
             
             
  By:   /s/ Robert J. Sorrentino   Date:  11/1/02
   
   

    **Signature of Reporting Person      
    Name: Robert J. Sorrentino      
    Title: President      

 

 

 

 

 

 

Page 3 of 4

POWER OF ATTORNEY

        The undersigned individual, as an officer of Bertelsmann AG (as indicated below) hereby constitutes and appoints Robert J. Sorrentino, acting individually, his true and lawful attorney-in-fact for the following purpose:

        To execute and deliver on behalf of Bertelsmann AG (1) all Statements of Changes of Beneficial Ownership of Securities on Form 4 and (2) any and all amendments to the Statement on Schedule 13D, in each case to be filed by Bertelsmann AG in connection with its beneficial ownership of shares of Class A Common Stock of barnesandnoble.com inc. (the “Shares”).

and hereby ratifies and confirms everything said attorney-in-fact may do by virtue of this instrument.

        This Power of Attorney shall remain in full force and effect until Bertelsmann AG is no longer required to make filings with the U.S. Securities and Exchange Commission with respect to its beneficial ownership of Shares, unless earlier revoked by Bertelsmann AG in a signed writing delivered to the foregoing attorney-in-fact.

        In witness whereof, the undersigned has duly executed and delivered this power of attorney as of the 30th day of October, 2002.

 

      /s/     Dr. Ewald Walgenbach                  
  Name: Dr. Ewald Walgenbach
  Title: CEO DirectGroup Bertelsmann,
Member of the Executive Board of Bertelsmann AG

 

 

 

 

 

 

Page 4 of 4

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