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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
DOVE AUDIO, INC.
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(NAME OF ISSUER)
COMMON STOCK
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(TITLE OF CLASS OF SECURITIES)
259901 10 6
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(CUSIP NUMBER)
Jonathan L. Awner, Esq.
Akerman, Senterfitt & Eidson, P.A.
One Southeast Third Avenue, 28th Floor, Miami, Florida 33131: (305) 374-5600
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(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON
AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)
December 17, 1996
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(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 [ ].
Check the following box if a fee is being paid with the statement [ ].
(A fee is not required only if the reporting person: (1) has a previous
statement on file reporting beneficial ownership of more than five percent of
the class of securities described in Item 1: and (2) has filed no amendment
subsequent thereto reporting beneficial ownership of five percent or less of
such class.) (See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be
filed with the Commission. See Rule 13d-1(a) 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).
(continued on following pages)
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CUSIP No. 259901 10 6 SCHEDULE 13D
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(1) Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons
NORTON HERRICK
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(2) Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
(3) SEC Use Only
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(4) SOURCE OF FUNDS*
PF
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(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
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(6) Citizenship or Place of Organization
United States
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(7) Sole Voting Power
Number of 187,500
Shares --------------------------------------------------------
Beneficially (8) Shared Voting Power
Owned by 0
Each --------------------------------------------------------
Reporting (9) Sole Dispositive Power
Person With 187,500
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(10) Shared Dispositive Power
0
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(11) Aggregate Amount Beneficially Owned by Each Reporting Person
187,500
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(12) Check Box if Aggregate Amount in Row (11) Excludes Certain
Shares* [ ]
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(13) Percent of Class Represented by Amount in Row (11)
3.4%
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(14) Type of Reporting Person*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
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The reporting person listed on the cover page to this Schedule 13D
hereby makes the following statement pursuant to Section 13(d) of the Securities
Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and
regulations promulgated thereunder. This Schedule 13D amends the original
Schedule 13D, dated July 15, 1996 (the "Original Schedule 13D"), filed by the
reporting person. For information regarding Items 1, 2, 3, 4, 6 or 7, reference
is made to the Original Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 of the Original Schedule 13D is hereby amended in its entirety
as follows:
(a) and (b) As of December 17, 1996, Mr. Herrick may be deemed to
beneficially own 187,500 shares of Common Stock (which consists of 187,500
shares of Common Stock issuable upon exercise of the Warrants) (described in the
Original Schedule 13D), representing approximately 3.4% of the outstanding
shares of Common Stock, calculated in accordance with Rule 13d-3 under the
Exchange Act (based on 5,313,240 shares of Common Stock issued and outstanding
as of November 13, 1996 as reported on the Issuer's Quarterly Report on Form
10-Q for the quarter ended September 30, 1996, plus the 187,500 shares of Common
Stock issuable upon exercise of the Warrants that Mr. Herrick may be deemed to
beneficially own and which are deemed outstanding for purposes of this
computation). Mr. Herrick has the sole power to vote and dispose of all of the
187,500 shares of Common Stock which he may be deemed to beneficially own as
described above.
(c) Except as described below, Mr. Herrick has not affected any
transactions in any securities of the Issuer during the past sixty days:
(i) On December 17, 1996, Mr. Herrick sold 187,500 shares of Common
Stock at $1.50 per share on the open market.
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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: December 23, 1996 /S/ Norton Herrick
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NORTON HERRICK
