Home/Filings/4/0001181431-10-059005

4//SEC Filing

ET HOLDINGS LLC 4

Accession 0001181431-10-059005

CIK 0001138951other

View on SEC.gov Company Profile

Filed

Dec 1, 7:00 PM ET

Accepted

Dec 2, 8:17 PM ET

Size

34.3 KB

Accession

0001181431-10-059005

Insider Transaction Report

Form 4

Period: 2010-11-30

LEAPFROG ENTERPRISES INCLF

HAMPSTEAD ASSOCIATES LLC

10% Owner

Transactions

Conversion
Class B Common Stock, $.0001 par value
2010-12-01−100,000→ 936,216 total
→ Class A Common Stock, $.0001 par value (100,000 underlying)
Conversion
Class B Common Stock, $.0001 par value
2010-12-02−250,000→ 686,216 total
→ Class A Common Stock, $.0001 par value (250,000 underlying)
Sale
Class A Common Stock, $.0001 par value
2010-11-30$5.75/sh−300,000$1,725,000→ 0 total
Sale
Class A Common Stock, $.0001 par value
2010-12-01$5.80/sh−100,000$580,000→ 0 total
Conversion
Class A Common Stock, $.0001 par value
2010-11-30+300,000→ 300,000 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-01+100,000→ 100,000 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-02+250,000→ 250,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-02$5.80/sh−250,000$1,450,000→ 0 total
Conversion
Class B Common Stock, $.0001 par value
2010-11-30−300,000→ 1,036,216 total
→ Class A Common Stock, $.0001 par value (300,000 underlying)

Holdings

Class A Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
315,137
Class B Common Stock, $.0001 par value
(indirect: By Hampstead Associates, L.L.C.)
→ Class A Common Stock, $.0001 par value (11,579 underlying)
11,579
Class A Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
601,789
Class B Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
→ Class A Common Stock, $.0001 par value (5,039,937 underlying)
5,039,937
Class B Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
→ Class A Common Stock, $.0001 par value (521,335 underlying)
521,335

RIDGEVIEW ASSOCIATES LLC

10% Owner

Transactions

Conversion
Class B Common Stock, $.0001 par value
2010-12-01−100,000→ 936,216 total
→ Class A Common Stock, $.0001 par value (100,000 underlying)
Sale
Class A Common Stock, $.0001 par value
2010-11-30$5.75/sh−300,000$1,725,000→ 0 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-01+100,000→ 100,000 total
Conversion
Class B Common Stock, $.0001 par value
2010-12-02−250,000→ 686,216 total
→ Class A Common Stock, $.0001 par value (250,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-11-30+300,000→ 300,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-02$5.80/sh−250,000$1,450,000→ 0 total
Sale
Class A Common Stock, $.0001 par value
2010-12-01$5.80/sh−100,000$580,000→ 0 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-02+250,000→ 250,000 total
Conversion
Class B Common Stock, $.0001 par value
2010-11-30−300,000→ 1,036,216 total
→ Class A Common Stock, $.0001 par value (300,000 underlying)

Holdings

Class A Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
315,137
Class B Common Stock, $.0001 par value
(indirect: By Hampstead Associates, L.L.C.)
→ Class A Common Stock, $.0001 par value (11,579 underlying)
11,579
Class A Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
601,789
Class B Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
→ Class A Common Stock, $.0001 par value (521,335 underlying)
521,335
Class B Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
→ Class A Common Stock, $.0001 par value (5,039,937 underlying)
5,039,937

MILKEN LOWELL J

10% Owner

Transactions

Conversion
Class B Common Stock, $.0001 par value
2010-11-30−300,000→ 1,036,216 total
→ Class A Common Stock, $.0001 par value (300,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-12-01+100,000→ 100,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-01$5.80/sh−100,000$580,000→ 0 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-02+250,000→ 250,000 total
Conversion
Class B Common Stock, $.0001 par value
2010-12-01−100,000→ 936,216 total
→ Class A Common Stock, $.0001 par value (100,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-11-30+300,000→ 300,000 total
Conversion
Class B Common Stock, $.0001 par value
2010-12-02−250,000→ 686,216 total
→ Class A Common Stock, $.0001 par value (250,000 underlying)
Sale
Class A Common Stock, $.0001 par value
2010-11-30$5.75/sh−300,000$1,725,000→ 0 total
Sale
Class A Common Stock, $.0001 par value
2010-12-02$5.80/sh−250,000$1,450,000→ 0 total

Holdings

Class A Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
601,789
Class B Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
→ Class A Common Stock, $.0001 par value (521,335 underlying)
521,335
Class B Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
→ Class A Common Stock, $.0001 par value (5,039,937 underlying)
5,039,937
Class B Common Stock, $.0001 par value
(indirect: By Hampstead Associates, L.L.C.)
→ Class A Common Stock, $.0001 par value (11,579 underlying)
11,579
Class A Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
315,137

MILKEN MICHAEL R

10% Owner

Transactions

Conversion
Class B Common Stock, $.0001 par value
2010-12-02−250,000→ 686,216 total
→ Class A Common Stock, $.0001 par value (250,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-12-02+250,000→ 250,000 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-01+100,000→ 100,000 total
Conversion
Class B Common Stock, $.0001 par value
2010-11-30−300,000→ 1,036,216 total
→ Class A Common Stock, $.0001 par value (300,000 underlying)
Sale
Class A Common Stock, $.0001 par value
2010-11-30$5.75/sh−300,000$1,725,000→ 0 total
Conversion
Class B Common Stock, $.0001 par value
2010-12-01−100,000→ 936,216 total
→ Class A Common Stock, $.0001 par value (100,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-11-30+300,000→ 300,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-01$5.80/sh−100,000$580,000→ 0 total
Sale
Class A Common Stock, $.0001 par value
2010-12-02$5.80/sh−250,000$1,450,000→ 0 total

Holdings

Class A Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
315,137
Class A Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
601,789
Class B Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
→ Class A Common Stock, $.0001 par value (521,335 underlying)
521,335
Class B Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
→ Class A Common Stock, $.0001 par value (5,039,937 underlying)
5,039,937
Class B Common Stock, $.0001 par value
(indirect: By Hampstead Associates, L.L.C.)
→ Class A Common Stock, $.0001 par value (11,579 underlying)
11,579

ET HOLDINGS LLC

10% Owner

Transactions

Conversion
Class B Common Stock, $.0001 par value
2010-12-01−100,000→ 936,216 total
→ Class A Common Stock, $.0001 par value (100,000 underlying)
Conversion
Class B Common Stock, $.0001 par value
2010-11-30−300,000→ 1,036,216 total
→ Class A Common Stock, $.0001 par value (300,000 underlying)
Conversion
Class B Common Stock, $.0001 par value
2010-12-02−250,000→ 686,216 total
→ Class A Common Stock, $.0001 par value (250,000 underlying)
Conversion
Class A Common Stock, $.0001 par value
2010-12-02+250,000→ 250,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-02$5.80/sh−250,000$1,450,000→ 0 total
Sale
Class A Common Stock, $.0001 par value
2010-11-30$5.75/sh−300,000$1,725,000→ 0 total
Conversion
Class A Common Stock, $.0001 par value
2010-11-30+300,000→ 300,000 total
Conversion
Class A Common Stock, $.0001 par value
2010-12-01+100,000→ 100,000 total
Sale
Class A Common Stock, $.0001 par value
2010-12-01$5.80/sh−100,000$580,000→ 0 total

Holdings

Class B Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
→ Class A Common Stock, $.0001 par value (5,039,937 underlying)
5,039,937
Class A Common Stock, $.0001 par value
(indirect: By Michael R. Milken)
601,789
Class B Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
→ Class A Common Stock, $.0001 par value (521,335 underlying)
521,335
Class A Common Stock, $.0001 par value
(indirect: By Lowell J. Milken)
315,137
Class B Common Stock, $.0001 par value
(indirect: By Hampstead Associates, L.L.C.)
→ Class A Common Stock, $.0001 par value (11,579 underlying)
11,579

Footnotes (8)

[F1]Class B Common Stock is convertible into Class A Common Stock at any time on a one-for-one basis and has no expiration date.
[F2]These shares are held of record by ET Holdings L.L.C., a Delaware limited liability company ("ET Holdings").
[F3]These shares are held of record by Lowell J. Milken.
[F4]These shares are held of record by Michael R. Milken.
[F5]These shares are held of record by Hampstead Associates, L.L.C., a Delaware limited liability company ("Hampstead").
[F6]Hampstead is the sole manager and the sole member of ET Holdings, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record by ET Holdings. Knowledge Universe LLC, a California limited liability company (formerly known as Ridgeview Associates, L.L.C.) ("KU"), is the manager and a member of Hampstead, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record by Hampstead. [Continued in Footnote 7]
[F7]Messrs. Michael R. Milken and Lowell J. Milken may each be deemed to be a controlling person of each of Hampstead and KU, and in such capacities may be deemed to have the power to direct the voting and disposition of, and to share beneficial ownership of, any securities owned of record, or beneficially owned, by each of ET Holdings, Hampstead and KU, but each disclaims such beneficial ownership except to the extent of his pecuniary interest therein.
[F8]ET Holdings, Hampstead, KU, Michael R. Milken and Lowell J. Milken may be deemed to be a group. Each of ET Holdings, Hampstead, KU and Messrs. Michael R. Milken and Lowell J. Milken disclaims such group membership. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934, or otherwise, that any one of ET Holdings, Hampstead, KU, Michael R. Milken or Lowell J. Milken is the beneficial owner of equity securities covered by this statement or any other statement that are beneficially owned, directly or indirectly, by any other person.

Documents

1 file

4
rrd292992.xmlPrimary
FORM 4

Issuer

LEAPFROG ENTERPRISES INC

CIK 0001138951

→

Entity typeother

Related Parties

filerCIK 0001271126

Filing Metadata

Form type: 4
Filed: Dec 1, 7:00 PM ET
Accepted: Dec 2, 8:17 PM ET
Size: 34.3 KB

View on SEC.gov