Amended Statement of Beneficial Ownership (sc 13d/a)
2015年12月19日 - 2:24AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Roundys, Inc.
(Name of issuer)
Class
A Common Stock, par value $0.01
(Title of class of securities)
779268 101
(CUSIP
number)
Willis Stein & Partners
1033 Skokie Boulevard, Suite 360
Northbrook, Illinois 60062
(312) 422-5289
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and Communications)
December 18, 2015
(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 that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. x
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other
parties to whom copies are to be sent.
* |
The remainder of this cover page shall be filled out for a reporting persons 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).
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(1) |
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Names of
reporting persons Willis Stein & Partners III Sub, L.P. |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
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Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons Willis Stein & Partners Dutch III-A Sub, L.P. |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons Willis Stein & Partners Dutch III-B Sub, L.P. |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons Willis Stein & Partners III-C Sub, L.P. |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
|
Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
|
(7) |
|
Sole voting power
0 shares |
|
(8) |
|
Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
|
Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons Willis Stein & Partners Management III, L.P. |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons Willis Stein & Partners Management III, LLC |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization State of Delaware |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) PN |
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(1) |
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Names of
reporting persons John R. Willis |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization United States |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares (See Item 5) |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares (See Item 5) |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
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Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
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Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) IN |
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(1) |
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Names of
reporting persons Avy H. Stein |
(2) |
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Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x |
(3) |
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SEC use only
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(4) |
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Source of funds (see instructions)
OO |
(5) |
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e) ¨ |
(6) |
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Citizenship or place of
organization United States |
Number of
shares beneficially
owned by each
reporting person
with: |
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(7) |
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Sole voting power
0 shares (See Item 5) |
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(8) |
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Shared voting power
0 shares (See Item 5) |
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(9) |
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Sole dispositive power
0 shares (See Item 5) |
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(10) |
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Shared dispositive power
0 shares (See Item 5) |
(11) |
|
Aggregate amount beneficially owned by each reporting person
0 shares (See Item 5) |
(12) |
|
Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨ |
(13) |
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Percent of class represented by amount
in Row (11) 0% (See Item 5) |
(14) |
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Type of reporting person (see
instructions) IN |
EXPLANATORY NOTE: The Reporting Person previously filed a statement on Schedule 13G with the Securities
and Exchange Commission on February 12, 2013, as amended by Amendment No. 1 on March 14, 2013, Amendment No. 2 on February 14, 2014, and Amendment No. 3 on February 13, 2015 with respect to the securities that are
the subject of this Schedule 13D pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934, as amended (the Act), and are filing this Amendment No. 1 to Schedule 13D pursuant to Rule 13d-1(e) under the Act in order to
amend the Schedule 13D filed on November 12, 2015 (the Statement). Capitalized terms used herein and not otherwise defined have the meanings assigned to such terms in the Statement. Except as otherwise provided herein, each Item of
the Statement remains unchanged.
Item 4. Purpose of the Transaction.
Item 4 to the Statement is amended by adding the following after the last paragraph:
Pursuant to the Support Agreement, the Willis Stein Funds tendered their Shares into the Offer. Messrs. Stein and Willis also tendered their
individually owned Shares into the Offer. On December 18, 2015, Acquisition Sub accepted the Shares tendered into the Offer, and the Issuer merged into Acquisition Sub. As a result of the completion of the Offer and subsequent Merger, the
Reporting Persons no longer have beneficial ownership of any Shares.
Item 5. Interest in Securities of the Issuer.
Item 5 to the Statement is amended and restated as follows:
(a) As a result of the completion of the acquisition of the Issuer by The Kroger Co., the Reporting Persons no longer have beneficial ownership
of any Shares.
(c) Information with respect to all transactions in the Securities which were effected during the past sixty days or since
the most recent filing on Schedule 13D, whichever is less, by each of the Reporting Persons and Covered Persons is set forth on Schedule I annexed hereto and incorporated herein by reference.
(d) Not applicable.
(e) The
Reporting Persons ceased to be beneficial owners of five percent or more of the Issuers shares on December 18, 2015.
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.
Date: December 18, 2015
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WILLIS STEIN & PARTNERS III SUB, L.P. |
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By: |
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Willis Stein & Partners Management III, L.P. |
Its: |
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General Partner |
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By: |
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Willis Stein & Partners Management III, L.L.C. |
Its: |
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General Partner |
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By: |
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/s/ David Mills |
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Name: |
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David Mills, pursuant to powers of attorney |
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Title: |
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Chief Financial Officer |
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WILLIS STEIN & PARTNERS DUTCH III-A SUB, L.P. |
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By: |
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Willis Stein & Partners Management III, L.P. |
Its: |
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General Partner |
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By: |
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Willis Stein & Partners Management III, L.L.C. |
Its: |
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General Partner |
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By: |
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/s/ David Mills |
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Name: |
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David Mills, pursuant to powers of attorney |
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Title: |
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Chief Financial Officer |
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WILLIS STEIN & PARTNERS DUTCH III-B SUB, L.P. |
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By: |
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Willis Stein & Partners Management III, L.P. |
Its: |
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General Partner |
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By: |
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Willis Stein & Partners Management III, L.L.C. |
Its: |
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General Partner |
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By: |
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/s/ David Mills |
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Name: |
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David Mills, pursuant to powers of attorney |
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Title: |
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Chief Financial Officer |
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WILLIS STEIN & PARTNERS III-C SUB, L.P. |
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By: |
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Willis Stein & Partners Management III, L.P. |
Its: |
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General Partner |
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By: |
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Willis Stein & Partners Management III, L.L.C. |
Its: |
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General Partner |
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By: |
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/s/ David Mills |
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Name: |
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David Mills, pursuant to powers of attorney |
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Title: |
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Chief Financial Officer |
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* |
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John R. Willis |
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* |
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Avy H. Stein |
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*By: |
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/s/ David Mills |
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David Mills Pursuant to Powers of Attorney
attached hereto as Exhibit 99.4 |
SCHEDULE I
INFORMATION WITH RESPECT TO TRANSACTIONS
EFFECTED DURING THE PAST SIXTY DAYS OR
SINCE THE MOST RECENT FILING ON SCHEDULE 13D (1)
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COMMON STOCK - ROUNDYS, INC. |
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DATE(2) |
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SHARES PURCHASED SOLD(-) |
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AVERAGE PRICE |
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Willis Stein & Partners III Sub, L.P. |
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12/18/15 |
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3,334,911- |
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$ |
3.60 |
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Willis Stein & Partners Dutch III-A Sub, L.P. |
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12/18/15 |
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100,413- |
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$ |
3.60 |
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Willis Stein & Partners Dutch III-B Sub, L.P. |
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12/18/15 |
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100,413- |
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$ |
3.60 |
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Willis Stein & Partners III-C Sub, L.P. |
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12/18/15 |
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28,920- |
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$ |
3.60 |
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John R. Willis |
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12/18/15 |
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20,142- |
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$ |
3.60 |
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Avy H. Stein |
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12/18/15 |
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54,280- |
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$ |
3.60 |
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(1) |
ALL TRANSACTIONS WERE EFFECTED PURSUANT TO THE OFFER. |
(2) |
THE TRANSACTIONS ON 12/18/15 ARE A RESULT OF THE COMPLETION OF THE ACQUISITION OF THE ISSUER BY THE KROGER CO. FOR $3.60 PER SHARE. |
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