-----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, SPQdfTRrY/WmCYCcekXtMQE46fiIpD5isppFxPg+JefvioiSlJ5aAYhW+WR1RGgL jUebaGGH4mJmb98T50FXmw== 0000950135-02-000496.txt : 20020414 0000950135-02-000496.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950135-02-000496 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STUDENT ADVANTAGE INC CENTRAL INDEX KEY: 0001073508 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEMBERSHIP ORGANIZATIONS [8600] IRS NUMBER: 043263743 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58075 FILM NUMBER: 02529455 BUSINESS ADDRESS: STREET 1: 280 SUMMER STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6179122011 MAIL ADDRESS: STREET 1: 280 SUMMER STREET CITY: BOSTON STATE: MA ZIP: 02210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOZZI RAYMOND V JR CENTRAL INDEX KEY: 0001105784 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 280 SUMMER ST CITY: BOSTON STATE: MA ZIP: 02210 MAIL ADDRESS: STREET 1: 280 SUMMER ST CITY: BOSTON STATE: MA ZIP: 02210 SC 13G/A 1 b41865scsc13ga.txt RAYMOND V. SOZZI, JR. / STUDENT ADVANTAGE, INC. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------------- SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)* Student Advantage, Inc. ------------------------------------------------------------ (Name of Issuer) Common Stock, par value $.01 per share ------------------------------------------------------------ (Title of Class of Securities) 86386Q 10 5 ------------------------------------------------------------ (CUSIP Number) ------------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) * 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 of class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. 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 ("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. 86386Q 10 5 13G/A Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Raymond V. Sozzi, Jr. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 7,229,683(1) NUMBER OF -------------------------------------------------------------- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 7,229,683(1) WITH -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIARY OWNED BY EACH REPORTING PERSON 7,229,683(1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.2%(2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Consists of 7,031,036 shares of common stock held directly by Mr. Sozzi and 198,647 shares of common stock held indirectly by Mr. Sozzi in a trust, of which he is a trustee and, until 2005, the sole beneficiary. (2) Based on 47,583,574 shares outstanding as of December 31, 2001. CUSIP No. 86386Q 10 5 13G/A Page 3 of 6 Pages Item 1(a). Name of Issuer: Student Advantage, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 280 Summer Street Boston, MA 02210 Item 2(a). Name of Person Filing: Raymond V. Sozzi, Jr. Item 2(b). Address of Principal Business Office or, if None, Residence: Student Advantage, Inc. 280 Summer Street Boston, MA 02210 Item 2(c). Citizenship: U.S.A. Item 2(d). Title of Class of Securities: Common Stock, $.01 par value per share Item 2(e). CUSIP Number: 86386Q 10 5 Item 3. If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company as defined in Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. CUSIP No. 86386Q 10 5 13G/A Page 4 of 6 Pages (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). N/A Item 4. Ownership: Provide the following information regarding the aggregate number and percentage of the amount and class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 7,229,683 shares of common stock, consisting of 7,031,036 shares of common stock held directly by Mr. Sozzi and 198,647 shares of common stock held indirectly by Mr. Sozzi in a trust, of which he is a trustee and, until 2005, the sole beneficiary. (b) Percent of class: 15.2%(1) (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 7,229,683 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 7,229,683 (iv) Shared power to dispose or to direct the disposition of: 0 (1) Based on 47,583,574 shares outstanding as of December 31, 2001. Item 5. Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of a class of securities, check the following [ ]. N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person: N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: N/A Item 8. Identification of Members of the Group: N/A Item 9. Notice of Dissolution of a Group: N/A CUSIP No. 86386Q 10 5 13G/A Page 5 of 6 Pages Item 10 Certification: N/A CUSIP No. 86386Q 10 5 13G/A Page 6 of 6 Pages SIGNATURE 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. DATED: February 7, 2002 /s/ Raymond V. Sozzi, Jr. ---------------------------------------- Raymond V. Sozzi, Jr. -----END PRIVACY-ENHANCED MESSAGE-----