UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
(Amendment No. 17)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(A) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
Liquid Audio, Inc.
------------------
(Name of Issuer)
Common Stock, $.001 par value
(Title of Class of Securities)
53631T102000
------------
(CUSIP Number)
Mr. James Mitarotonda
c/o Barington Capital Group, L.P.
888 Seventh Avenue, 17th Floor
New York, N.Y. 10019
(212) 974-5700
--------------
(Name, Address and Telephone Number of
Person Authorized to Receive Notices
and Communications)
December 31, 2003
-----------------
(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(e), 13d-1(f), or 13d-1(g), check the following
box: |_|.
1
SCHEDULE 13D
CUSIP No. 53631T102000
----------------------
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
MM Companies, Inc. 54-1811721
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
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3) SEC USE ONLY
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4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7) SOLE VOTING POWER
NUMBER OF 655,700
SHARES ------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 655,700
WITH ------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
655,700
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12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8%
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14) TYPE OF REPORTING PERSON
CO
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2
SCHEDULE 13D
CUSIP No. 53631T102000
----------------------
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Barington Companies Equity Partners, L.P. 13-4088890
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 481,700
SHARES -----------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH -----------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 481,700
WITH -----------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
481,700
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.1%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
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3
SCHEDULE 13D
CUSIP No. 53631T102000
----------------------
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ramius Securities, LLC 58-2253019
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
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3) SEC USE ONLY
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4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 118,000
SHARES -----------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH -----------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 118,000
WITH -----------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
118,000
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
less than 1.0%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
BD
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4
SCHEDULE 13D
CUSIP No. 53631T102000
----------------------
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Domrose Sons Partnership 11-3256586
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
New York
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7) SOLE VOTING POWER
NUMBER OF 8,000
SHARES -------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH -------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 8,000
WITH -------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,000
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
less than 1.0%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
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5
SCHEDULE 13D
CUSIP No. 53631T102000
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
RCG Ambrose Master Fund Ltd. 98-0212993
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
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7) SOLE VOTING POWER
NUMBER OF 42,750
SHARES -----------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH -----------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 42,750
WITH -----------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
42,750
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
less than 1.0%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
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6
SCHEDULE 13D
CUSIP No. 53631T102000
----------------------
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ramius Master Fund Ltd. 98-0395643
-------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 71,250
SHARES -----------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH -----------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 71,250
WITH -----------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
71,250
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
less than 1.0%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
7
Introduction. This Amendment No. 17 amends and supplements the
Schedule 13D, dated September 28, 2001, as amended to date (the "Schedule 13D"),
filed with the Securities and Exchange Commission by MM Companies, Inc.,
formerly known as musicmaker.com, Inc. ("MM Companies"), Jewelcor Management,
Inc., Barington Companies Equity Partners, L.P., Ramius Securities, LLC and
Domrose Sons Partnership with respect to the common stock, $.001 par value (the
"Common Stock"), of Liquid Audio, Inc., a Delaware corporation (the "Company").
The principal executive offices of the Company are located at 800 Chesapeake
Drive, Redwood City, California 94063.
Item 2(a) - (c) of Schedule 13D, "Identity and Background" is
deleted in its entirety and replaced with the following:
(a) - (c) This statement is being filed by MM Companies, Barington
Companies Equity Partners, L.P., Ramius Securities, LLC, Domrose Sons
Partnership, RCG Ambrose Master Fund Ltd. and Ramius Master Fund Ltd.
(collectively, the "Reporting Entities").
MM Companies, Inc. is a Delaware corporation that was formerly engaged in
the business of marketing customized compact discs over the internet and is
presently exploring alternative business opportunities. The address of the
principal business and principal offices of MM Companies, Inc. is c/o Barington
Capital Group, L.P., 888 Seventh Avenue, 17th Floor, New York, New York 10019.
The officers and directors of MM Companies, Inc. and their principal occupations
and business addresses are set forth on Schedule I and incorporated by reference
in this Item 2.
Barington Companies Equity Partners, L.P. is a Delaware limited
partnership formed to engage in the business of acquiring, holding and disposing
of investments in various companies. The address of the principal business and
principal offices of Barington Companies Equity Partners, L.P. is 888 Seventh
Avenue, 17th Floor, New York, New York 10019.
The general partner of Barington Companies Equity Partners, L.P. is
Barington Companies Investors, LLC. Barington Companies Investors, LLC is a
Delaware limited liability company formed to be the general partner of Barington
Companies Equity Partners, L.P. The address of the principal business and
principal offices of Barington Companies Investors, LLC is 888 Seventh Avenue,
17th Floor, New York, New York 10019. James Mitarotonda is the managing member
of Barington Companies Investors, LLC. The business address of Mr. Mitarotonda
is c/o Barington Capital Group, L.P., 888 Seventh Avenue, 17th Floor, New York,
New York 10019.
8
Ramius Securities, LLC is a Delaware limited liability company and a
registered broker-dealer. The address of the principal business and principal
offices of Ramius Securities, LLC is 666 Third Avenue, 26th Floor, New York, New
York 10017.
The Managing Member of Ramius Securities, LLC is Ramius Capital Group,
LLC. Ramius Capital Group, LLC is a Delaware limited liability company that is
engaged in money management and investment advisory services for third parties
and proprietary accounts. The address of the principal business and principal
offices of Ramius Capital Group, LLC is 666 Third Avenue, 26th Floor, New York,
New York 10017.
The Managing Member of Ramius Capital Group, LLC is C4S, LLC, a Delaware
limited liability company formed to be the managing member of Ramius Capital
Group, LLC. The address of the principal business and principal offices of C4S,
LLC is 666 Third Avenue, 26th Floor, New York, New York 10017. Each of Peter A.
Cohen, Morgan B. Stark, Jeffrey M. Solomon and Thomas W. Strauss is a managing
member of C4S, LLC. The business address of each of Messrs. Cohen, Stark and
Strauss is 666 Third Avenue, 26th Floor, New York, New York 10017.
Domrose Sons Partnership is a New York partnership formed to engage in the
business of acquiring, holding and disposing of investments in various
companies. The address of the principal business and principal offices of
Domrose Sons Partnership is c/o Mario Mitarotonda, Vincci, 70-39 Austin Street,
Forest Hills, New York 11375.
Each of James Mitarotonda, Mario Mitarotonda and Mike Mitarotonda is a
partner in Domrose Sons Partnership. The business address of each James
Mitarotonda, Mario Mitarotonda and Mike Mitarotonda is c/o Mario Mitarotonda,
Vincci, 70-39 Austin Street, Forest Hills, New York 11375.
RCG Ambrose Master Fund, Ltd. is a Cayman Islands corporation engaged in
investing in companies effecting extraordinary transactions. The address of the
principal business and principal offices of RCG Ambrose Master Fund, Ltd. is
Citco Fund Services (Cayman Islands) Ltd., Corporate Centre, West Bay Road, P.O.
Box 31106 SMB, Grand Cayman, Cayman Islands, British West Indies. The executive
officers and directors of RCG Ambrose Master Fund, Ltd. and their principal
occupations and business addresses are set forth on Schedule V attached to the
Schedule 13D. Ramius Capital Group, LLC is the investment manager of RCG Ambrose
Master Fund, Ltd.
Ramius Master Fund, Ltd. is a Cayman Islands corporation engaged in
investing in a multi-strategy portfolio. The address of the principal business
and principal offices of Ramius Master Fund, Ltd. is Citco Fund Services (Cayman
Islands) Ltd., Corporate Centre, West Bay Road, P.O. Box 31106 SMB, Grand
Cayman, Cayman Islands, British West Indies. The executive officers and
directors of Ramius Master Fund, Ltd. and their principal occupations and
business addresses are set forth on Schedule VI attached to the Schedule 13D.
Ramius Advisors, LLC is the investment manager of Ramius Master Fund, Ltd.
Ramius Advisors, LLC is a Delaware limited liability company that is
engaged in money management and investment advisory services for third parties
and proprietary accounts. It is wholly owned by Ramius Capital Group, LLC who is
also its sole managing member. The address of the principal business and
principal offices of Ramius Advisors, LLC is 666 Third Avenue, 26th floor, New
York, New York 10017.
Item 3 of the Schedule 13D, "Source and Amount of Funds or Other
Consideration," is deleted in its entirety and replaced with the following:
All purchases of Common Stock by the Reporting Entities were made in the
open market and were funded by working capital, which may, at any given time,
include margin loans made
9
by brokerage firms in the ordinary course of business. The amount of the funds
expended by the Reporting Persons for such purchases was $1,448,535 by MM
Companies; $789,106 by Barington Companies Equity Partners, L.P.; $215,951 by
Ramius Securities, LLC; $16,428 by Domrose Sons Partnership; $12,397.50 by RCG
Ambrose Master Fund Ltd.; and $20,662.50 by Ramius Master Fund Ltd.
Item 5(a) of the Schedule 13D, "Interest in Securities of the
Issuer," is deleted in its entirety and replaced with the following:
(a) As of the date hereof, the Reporting Entities own an aggregate of
1,377,400 shares of Common Stock, representing approximately 5.9% of the
outstanding shares of Common Stock based upon the 23,176,858 shares of Common
Stock reported by the Company to be issued and outstanding as of November 11,
2003 in its Quarterly Report on Form 10-Q for the quarter ended September 30,
2003. The Reporting Entities previously reported their ownership of Common Stock
together with Common Stock owned by Jewelcor Management, Inc. ("Jewelcor"). The
Reporting Entities, but not Jewelcor, may continue to act together for the
purpose of acquiring, holding or disposing of Common Stock of the Company, and
accordingly may be deemed to constitute a "group" for purposes of Section 13(d)
of the Securities Exchange Act of 1934 and the rules thereunder. Inclusion of
Jewelcor Management, Inc. in any such group is expressly disclaimed.
As of the date hereof, MM Companies beneficially owns an aggregate of
655,700 shares of Common Stock, representing approximately 2.8% of the
outstanding shares of Common Stock.
As of the date hereof, Barington Company Equities Partners, L.P.
beneficially owns an aggregate of 481,700 shares of Common Stock, representing
approximately 2.1% of the outstanding shares of Common Stock.
As of the date hereof, Ramius Securities, LLC beneficially owns an
aggregate of 118,000 shares of Common Stock, representing less than 1% of the
outstanding shares of Common Stock.
As of the date hereof, Domrose Sons Partnership beneficially owns an
aggregate of 8,000 shares of Common Stock, representing less than 1% of the
outstanding shares of Common Stock.
As of the date hereof, RCG Ambrose Master Fund Ltd. beneficially owns an
aggregate of 42,750 shares of Common Stock, representing less than 1% of the
outstanding shares of Common Stock.
As of the date hereof, Ramius Master Fund Ltd. beneficially owns an
aggregate of 71,250 shares of Common Stock, representing less than 1% of the
outstanding shares of Common Stock.
10
Item 7 of the Schedule 13D, "Material to be Filed as Exhibits," is
amended by adding the following:
99.27 Agreement of Joint Filing among MM Companies, Inc., Barington
Companies Equity Partners, L.P., Ramius Securities, LLC, Domrose
Sons Partnership, RCG Ambrose Master Fund Ltd. and Ramius Master
Fund Ltd. and dated January 13, 2004.
11
SIGNATURES
----------
After reasonable inquiry and to the best knowledge and belief of the
undersigned, the undersigned certify that the information set forth in this
Statement is true, complete and correct.
Dated: January 13, 2004
MM COMPANIES, INC.
By /s/ James A. Mitarotonda
--------------------------------------
Name: James A. Mitarotonda
Title: President and Chief Executive
Officer
BARINGTON COMPANIES EQUITY PARTNERS, L.P.
By: Barington Companies Investors,
LLC, its general partner
By /s/ James Mitarotonda
--------------------------------------
Name: James Mitarotonda
Title: Manager
RAMIUS SECURITIES, LLC
By: Ramius Capital Group, LLC, its
managing member
By /s/ Peter A. Cohen
--------------------------------------
Name: Peter A. Cohen
Title: Authorized Signatory
DOMROSE SONS PARTNERSHIP
By /s/ James Mitarotonda
--------------------------------------
Name: James Mitarotonda
Title: Partner
12
RCG AMBROSE MASTER FUND LTD.
By /s/ Peter A. Cohen
--------------------------------------
Name: Peter A. Cohen
Title: Authorized Signatory
RAMIUS MASTER FUND LTD.
By /s/ Peter A. Cohen
--------------------------------------
Name: Peter A. Cohen
Title: Authorized Signatory
13
SCHEDULE IV
Shares purchased by Barington Companies Equity Partners, L.P.
Date Number of Shares Price Per Share Cost(1)
---- ---------------- --------------- -------
12/31/03 142,500 $0.29 $41,325
Shares purchased by RCG Ambrose Master Fund Ltd.
Date Number of Shares Price Per Share Cost(2)
---- ---------------- --------------- -------
12/31/03 42,750 $0.29 $12,397.50
Shares purchased by Ramius Securities, LLC
Date Number of Shares Price Per Share Cost(3)
---- ---------------- --------------- -------
12/31/03 28,500 $0.29 $8,265
Shares purchased by Ramius Master Fund Ltd.
Date Number of Shares Price Per Share Cost(4)
---- ---------------- --------------- -------
12/31/03 71,250 $0.29 $20,662.50
-----------------
1 Excludes commissions and other execution-related costs.
2 Excludes commissions and other execution-related costs.
3 Excludes commissions and other execution-related costs.
4 Excludes commissions and other execution-related costs.
14
Schedule V
Directors and Officers of RCG Ambrose Master Fund, Ltd.
Name and Position Principal Occupation Principal Business Address
----------------- -------------------- --------------------------
Mark R. Mitchell, Managing Director 666 Third Avenue, 26th Floor
Director Ramius Capital Group, LLC New York, NY 10017
Jeffrey C. Smith, Director 666 Third Avenue, 26th Floor
Director Ramius Capital Group, LLC New York, NY 10017
CFS Company Ltd. Nominee Company Corporate Centre, West Bay Road
Director PO Box 31106 SMB
Grand Cayman, Cayman Islands
CSS Corporation, Ltd., Nominee Company 666 Third Avenue, 26th Floor
Secretary New York, NY 10017
15
Schedule VI
Directors and Officers of Ramius Master Fund, Ltd.
Name and Position Principal Occupation Principal Business Address
----------------- -------------------- --------------------------
Marran H. Ogilvie, General Counsel 666 Third Avenue, 26th Floor
Director Ramius Capital Group, LLC New York, NY 10017
Morgan B. Stark, Principal 666 Third Avenue, 26th Floor
Director Ramius Capital Group, LLC New York, NY 10017
CFS Company Ltd. Nominee Company Corporate Centre, West Bay Road
Director PO Box 31106 SMB
Grand Cayman, Cayman Islands
CSS Corporation, Ltd., Nominee Company 666 Third Avenue, 26th Floor
Secretary New York, NY 10017
16