Statistiche di base
| CIK | 820789 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Earthworks Entertainment, Inc.
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| October 6, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number EARTHWORKS ENTERTAINMENT, INC. (Exact name of registrant as specified in its |
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| October 1, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number EARTHWORKS ENTERTAINMENT, INC. (Exact name of registrant as specified in its |
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| July 8, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2008 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commission File Number) (IRS E |
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| December 29, 2006 |
SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 Notification of Late Filing EARTHWORKS ENTERTAINMENT, INC. Commission File Number 1-15599 (Check one) [X] Form 10-K and Form 10-KSB [ ] Form 11-K [ ] Form 20-F [ ] Form 10-Q and Form 10-QSB [ ] Form N-SAR [ ] Form N-CSR For the period ended: September 30, 2006 [ ] Transition Report on Form 10-K and Form 10-KSB [ ] Transition Repor |
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| November 22, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2006 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commission File Number) ( |
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| September 5, 2006 |
ROBERT BRANTL 52 Mulligan Lane Irvington, NY 10533 914-693-1807 (fax) ROBERT BRANTL 52 Mulligan Lane Irvington, NY 10533 914-693-3026 914-693-1807 (fax) September 1, 2006 VIA EDGAR Thomas Flinn Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| August 14, 2006 |
U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2006 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 0-25319 EARTHWORKS ENTERTAINMENT, INC. (Exact name |
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| July 26, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A (Amendment No. 1) /X/ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2005 Commission File No.: 1-15599 EARTHWORKS ENTERTAINMENT, INC. (Exact name of registrant as specified in its charter) DELAWARE 23-2442288 State or other jurisdiction |
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| July 17, 2006 |
ROBERT BRANTL, ESQ. 322 4th Street Brooklyn, NY 11215 718-965-4042 (fax) ROBERT BRANTL, ESQ. 322 4th Street Brooklyn, NY 11215 718-768-6045 718-965-4042 (fax) July 17, 2006 VIA EDGAR Thomas Flinn Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Earthworks Entertainment, Inc. Item 4.02, Form 8-K Filed July 10, 2006 File No. 1-15599 Dear Mr. Flinn: I am writing in response to your letter to Peter Keefe dated J |
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| July 17, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2006 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commissio |
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| July 17, 2006 |
EX-7 2 earthworks8ka063006ex7.htm EXHIBIT 7 July 17, 2006 U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Earthworks Entertainment, Inc. Item 4.02 Form 8-K/A To Whom It May Concern: We have read and agree with the statements under Item 4.02 of the Form 8-K/A (Amendment No. 1) report dated June 30, 2006. Very truly yours, /s/ Rosenberg Rich Baker Berman & C |
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| July 10, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2006 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commission File Number) (IRS |
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| July 10, 2006 |
July 10, 2006 U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Earthworks Entertainment, Inc. Item 4.02 Form 8-K To Whom It May Concern: We have read and agree with the statements under Item 4.02 of the Form 8-K report dated June 30, 2006. Very truly yours, /s/ Rosenberg Rich Baker Berman & Co. Rosenberg Rich Baker Berman & Co. |
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| May 26, 2006 |
Exhibit 99.V EARTHWORKS ENTERTAINMENT, INC. Agreement Regarding and Amendment to Convertible Promissory Note May , 2006 WHEREAS, Earthworks Entertainment, Inc., a Delaware corporation (the ?Company?), and (the ?Lender?), wish to amend the terms of the Senior Secured Promissory Note (the ?Note?), issued on , as amended, issued by the Company for the benefit of the Lender in the amount of $ . NOW TH |
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| May 26, 2006 |
EARTHWORKS ENTERTAINMENT, INC. Amendment to Warrant May , 2006 EX-99.(W) 4 dex99w.htm FORM OF WARRANT AMENDMENT Exhibit 99.W EARTHWORKS ENTERTAINMENT, INC. Amendment to Warrant May , 2006 WHEREAS, Earthworks Entertainment, Inc., a Delaware corporation (the “Company”), and (the “Lender”), wish to amend the terms of the Warrant to Purchase Shares of Stock (the “Warrant”), issued on . NOW THEREFORE, for good and valuable consideration, the receipt and adequacy o |
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| May 26, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* EARTHWORKS ENTERTAINMENT, INC. (Name of Issuer) COMMON STOCK, $0.0015 PAR VALUE (Title of Class of Securities) 27032F 10 1 (CUSIP Number) CHRISTOPHER P. BAKER C/O C.P. BAKER & CO., LTD. 99 HIGH STREET, 7TH FLOOR BOSTON, MA 02210 USA (617) |
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| May 26, 2006 |
JOINT FILING AGREEMENT dated May 26, 2006 Re: Joint Filing of Schedule 13D EXHIBIT 99.A JOINT FILING AGREEMENT dated May 26, 2006 Re: Joint Filing of Schedule 13D This will confirm the agreement by and among all the undersigned that the Amendment No. 2 to the Schedule 13D filed on or about this date with respect to the beneficial ownership of the undersigned of Common Stock, par value $0.0015 per share, of Earthworks Entertainment, Inc. is being, and any and all further |
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| May 15, 2006 |
U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2006 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 0-25319 EARTHWORKS ENTERTAINMENT, INC. (Exact name |
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| February 15, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2005 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commission File Number) ( |
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| February 15, 2006 |
/s/ Rosenberg Rich Baker Berman & Company Rosenberg Rich Baker Berman & Company February 15, 2006 U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Re: Earthworks Entertainment, Inc. Item 4.02 Form 8-K File No. 1-15599 We have read and agree with the statements under Item 4.02 of the Form 8-K report dated November 16, 2005. /s/ Rosenberg Rich Baker Berman & Company Rosenberg Rich Baker Berman & Company |
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| February 14, 2006 |
U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2005 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 0-25319 EARTHWORKS ENTERTAINMENT, INC. (Exact n |
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| February 14, 2006 |
U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB/A (Amendment #2) U. S. Securities and Exchange Commission Washington, D. C. 20549 FORM 10-QSB/A (Amendment #2) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2003 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 0-25319 EARTHWORKS ENTERTAINME |
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| January 17, 2006 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A (Amendment No. 2) /X/ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2003 EARTHWORKS ENTERTAINMENT, INC. (FKA ECONTENT, INC.) (Exact name of registrant as specified in its charter) DELAWARE 23-2442288 State or other jurisdiction of incorporation or o |
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| January 17, 2006 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB/A (Amendment No. 2) /X/ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2004 EARTHWORKS ENTERTAINMENT, INC. (FKA ECONTENT, INC.) (Exact name of registrant as specified in its charter) DELAWARE 23-2442288 State or other jurisdiction of incorporation or o |
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| January 17, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KSB /X/ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2005 Commission File No.: 1-15599 EARTHWORKS ENTERTAINMENT, INC. (Exact name of registrant as specified in its charter) DELAWARE 23-2442288 State or other jurisdiction of incorporation or |
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| January 3, 2006 |
SECURITIES & EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 Notification of Late Filing EARTHWORKS ENTERTAINMENT, INC. Commission File Number 1-15599 (Check one) [X] Form 10-K and Form 10-KSB [ ] Form 11-K [ ] Form 20-F [ ] Form 10-Q and Form 10-QSB [ ] Form N-SAR [ ] Form N-CSR For the period ended: September 30, 2005 [ ] Transition Report on Form 10-K and Form 10-KSB [ ] Transition Repor |
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| October 31, 2005 |
EARTHWORKS ENTERTAINMENT, INC. 6467 Zuma View Place Suite 160 Malibu, CA 90265 EARTHWORKS ENTERTAINMENT, INC. 6467 Zuma View Place Suite 160 Malibu, CA 90265 October 31, 2005 Via EDGAR Robert F. Telewicz, Jr. Division of Corporation Finance Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Earthworks Entertainment, Inc. Item 4.02 Form 8-K Filed October 24, 2005 File No. 001-15599 Dear Mr. Telewicz: I am writing in response to your letter to Earthwo |
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| October 24, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 21, 2005 EARTHWORKS ENTERTAINMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 1-15599 22-2442288 (State of Incorporation) (Commission File Number) (I |
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| August 12, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 1O-QSB UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 1O-QSB (MARK ONE) /X/ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. FOR THE QUARTER ENDED JUNE 30, 2005 COMMISSION FILE NO. 133-16736 EARTHWORKS ENTERTAINMENT, INC. AND SUBSIDIARIES (Formerly ECONTENT, INC.) (Exact name of registrant as specified in its charter) DELAWARE 23-24422 |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Exhibit 99.Y NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE ?ACTS?), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUER IN FOR |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.BB 14 dex99bb.htm WARRANT - ANASAZI PARTNERS II, LLC Exhibit 99.BB NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UN |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.T 6 dex99t.htm FIRST AMENDMENT TO PROMISSORY NOTE - ANASAZI PARTNERS III OFFSHORE, LTD. Execution Copy Exhibit 99.T FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Anasazi Partners III Offshore, Ltd. (the “Lender”), and Earthwo |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.S 5 dex99s.htm FIRST AMENDMENT TO PROMISSORY NOTE - CIMAROLO PARTNERS, LLC Execution Copy Exhibit 99.S FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Cimarolo Partners, LLC (the “Lender”), and Earthworks Entertainment, Inc., a |
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| July 26, 2005 |
Z-FORCE ENTERPRISES INTEREST PURCHASE AGREEMENT EX-99.CC 15 dex99cc.htm Z-FORCE ENTERPRISES INTEREST PURCHASE AGREEMENT EXHIBIT 99.CC Z-FORCE ENTERPRISES INTEREST PURCHASE AGREEMENT THIS Z-FORCE ENTERPRISES INTEREST PURCHASE AGREEMENT, dated as of September 7, 2004 (the “Agreement”), is entered into by and among Z-Force Enterprises, LLC, a Delaware limited liability company (the “Company”), Earthworks Entertainment, Inc., a Delaware corporation |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.DD 16 dex99dd.htm WARRANT - Z-FORCE PARTNERS, LLC Exhibit 99.DD NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLES |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.X 10 dex99x.htm WARRANT - CHRISTOPHER P. BAKER Exhibit 99.X NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.U 7 dex99u.htm FIRST AMENDMENT TO PROMISSORY NOTE - ANASAZI PARTNERS III, LLC Execution Copy Exhibit 99.U FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Anasazi Partners III, LLC (the “Lender”), and Earthworks Entertainment, I |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.R 4 dex99r.htm FIRST AMENDMENT TO PROMISSORY NOTE - CHRISTOPHER P. BAKER Execution Copy Exhibit 99.R FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Christopher P. Baker (the “Lender”), and Earthworks Entertainment, Inc., a Del |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.Q 3 dex99q.htm FIRST AMENDMENT TO PROMISSORY NOTE - CHRISTOPHER P. BAKER Execution Copy Exhibit 99.Q FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Christopher P. Baker (the “Lender”), and Earthworks Entertainment, Inc., a Del |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.EE 17 dex99ee.htm WARRANT - Z-FORCE PARTNERS, LLC Exhibit 99.EE NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLES |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.W 9 dex99w.htm WARRANT - CHRISTOPHER P. BAKER Exhibit 99.W NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN |
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| July 26, 2005 |
FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.V 8 dex99v.htm FIRST AMENDMENT TO PROMISSORY NOTE - ANASAZI PARTNERS II, LLC Execution Copy Exhibit 99.V FIRST AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This First Amendment to Senior Secured Convertible Promissory Note (this “Amendment”) dated as of the 15th day of June, 2005 is made and entered into by Anasazi Partners II, LLC (the “Lender”), and Earthworks Entertainment, Inc |
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| July 26, 2005 |
JOINT FILING AGREEMENT dated July 26, 2005 Re: Joint Filing of Schedule 13D EX-99.A 2 dex99a.htm JOINT FILING AGREEMENT Exhibit 99.A JOINT FILING AGREEMENT dated July 26, 2005 Re: Joint Filing of Schedule 13D This will confirm the agreement by and among all the undersigned that the Amendment No. 1 to the Schedule 13D filed on or about this date with respect to the beneficial ownership of the undersigned of Common Stock, par value $0.0015 per share, of Earthworks Entertain |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.Z 12 dex99z.htm WARRANT - ANASAZI PARTNERS III OFFSHORE, LTD. Exhibit 99.Z NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE AC |
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| July 26, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* EARTHWORKS ENTERTAINMENT, INC. (Name of Issuer) COMMON STOCK, $0.0015 PAR VALUE (Title of Class of Securities) 27032F 10 1 (CUSIP Number) CHRISTOPHER P. BAKER C/O C.P. BAKER & CO., LTD. 99 HIGH STREET, 7TH FLOOR BOSTON, MA 02210 USA (617) |
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| July 26, 2005 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK EX-99.AA 13 dex99aa.htm WARRANT - ANASAZI PARTNERS III, LLC Exhibit 99.AA NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR U |
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| May 20, 2005 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 1O-QSB SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 1O-QSB (MARK ONE) /X/ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. FOR THE QUARTER ENDED MARCH 31, 2005 COMMISSION FILE NO. 133-16736 EARTHWORKS ENTERTAINMENT, INC. AND SUBSIDIARIES- (Formerly ECONTENT, INC.) (Exact name of registrant as specified in its charter) DELAWARE 23-2442288 State or |
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| August 26, 2004 |
Engagement Letter Exhibit 99.I May 5, 2004 CONFIDENTIAL Earthworks Entertainment, Inc. 324 Dutura St. West Palm Beach, FL 33314 Attention: Peter Keefe This letter confirms our understanding that C.P. Baker Securities, Inc. (“CPB”‘) will act as an exclusive financial advisor to Earthworks Entertainment, Inc. and its subsidiaries (the “Company”) in connection with its fund raising needs. CPB will us |
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| August 26, 2004 |
NOTE AND WARRANT PURCHASE AGREEMENT Note and Warrant Purchase Agreement Exhibit 99.C NOTE AND WARRANT PURCHASE AGREEMENT THIS NOTE AND WARRANT PURCHASE AGREEMENT (“Agreement”) is made as of May 12, 2004, by and among Earthworks Entertainment, Inc., a Delaware corporation (the “Company”), and certain lenders party hereto (each a “Lender” and, collectively, the “Lenders”). WHEREAS, each Lender intends to loan a certain amount in cash |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Exhibit 99.L NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE ?ACTS?), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUER IN FOR |
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| August 26, 2004 |
SUBSCRIPTION AGREEMENT eCONTENT, INC. SUBSCRIPTION AGREEMENT EX-99.P 17 dex99p.htm SUBSCRIPTION AGREEMENT Exhibit 99.P SUBSCRIPTION AGREEMENT eCONTENT, INC. SUBSCRIPTION AGREEMENT eContent, Inc. 105 S. Narcissus Street, Suite 701 West Palm Beach, Florida 33401 Sir or Madam: The undersigned desires to become a stockholder of eContent, Inc., a Delaware corporation (the “Company”), and hereby irrevocably subscribes for shares (“Shares”) of the Company’s Common |
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| August 26, 2004 |
SENIOR SECURED CONVERTIBLE PROMISSORY NOTE U.S. $150,000 May 12, 2004 Promissory Note Exhibit 99.D THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUER IN FORM AND SUBST |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Exhibit 99.M NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE ?ACTS?), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUER IN FOR |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Warrant Exhibit 99.O NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUE |
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| August 26, 2004 |
SENIOR SECURED CONVERTIBLE PROMISSORY NOTE EX-99.G 8 dex99g.htm PROMISSORY NOTE Exhibit 99.G THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISS |
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| August 26, 2004 |
SENIOR SECURED CONVERTIBLE PROMISSORY NOTE U.S. $150,000 May 12, 2004 EX-99.E 6 dex99e.htm PROMISSORY NOTE Exhibit 99.E THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISS |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Warrant Exhibit 99.N NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUE |
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| August 26, 2004 |
List of Directors, Officers and Managers EX-99.B 3 dex99b.htm LIST OF DIRECTORS, OFFICERS AND MANAGERS Exhibit 99.B List of Directors, Officers and Managers C.P. Baker & Co., Ltd. Officers: Christopher P. Baker, President Directors: Christopher P. Baker, Earl Baker, Thomas Marturano Anasazi Partners III, LLC Manager: C.P. Baker, LLC Anasazi Partners III Offshore, Ltd. Manager: C.P. Baker, LLC Directors: Christopher P. Baker, Thomas S. He |
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| August 26, 2004 |
EX-99.A 2 dex99a.htm JOINT FILING UNDERTAKING Exhibit 99.A JOINT FILING UNDERTAKING The undersigned parties hereby agree that the Schedule 13D filed herewith (and any amendments thereto) relating to the Common Stock of Earthworks Entertainment, Inc. is being filed jointly on behalf of each of them with the Securities and Exchange Commission pursuant to Section 13(d) of the Securities Exchange Act |
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| August 26, 2004 |
SENIOR SECURED CONVERTIBLE PROMISSORY NOTE U.S. $50,000 May 12, 2004 EX-99.H 9 dex99h.htm PROMISSORY NOTE Exhibit 99.H THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISS |
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| August 26, 2004 |
SENIOR SECURED CONVERTIBLE PROMISSORY NOTE U.S. $150,000 May 12, 2004 Exhibit 99.F THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE ?ACTS?), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUER IN FORM AND SUBSTANCE SATISFACTOR |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Warrant Exhibit 99.K NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUE |
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| August 26, 2004 |
EARTHWORKS ENTERTAINMENT, INC. WARRANT TO PURCHASE SHARES OF STOCK Warrant Exhibit 99.J NEITHER THIS WARRANT NOR THE SHARES OBTAINABLE UPON ITS EXERCISE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS (COLLECTIVELY, THE “ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER ALL APPLICABLE ACTS OR UNLESS AN OPINION OF COUNSEL IS DELIVERED TO THE ISSUE |
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| August 26, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* EARTHWORKS ENTERTAINMENT, INC. (Name of Issuer) COMMON STOCK, $0.0015 PAR VALUE (Title of Class of Securities) 27032F 10 1 (CUSIP Number) CHRISTOPHER P. BAKER C/O C.P. BAKER & CO., LTD. 303 CONGRESS STREET, SUITE 301 BOSTON, MA 02210 USA (6 |
