-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gg+cT1IxSSYpX1ovgLFdqHOrV0I0K8nrX442X/WKf28EnCA2DJBvUbxQskNfkeM+ UAAiNmEevJt3T1h1ffPHQA== 0001200952-02-000029.txt : 20021118 0001200952-02-000029.hdr.sgml : 20021118 20021118164613 ACCESSION NUMBER: 0001200952-02-000029 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021118 GROUP MEMBERS: BRUNO TIPHINE GROUP MEMBERS: DAVID NIERENBERG GROUP MEMBERS: FLORENCE CIES GROUP MEMBERS: HAREDALE LTD GROUP MEMBERS: JAMES HENRY HILDEBRANDT GROUP MEMBERS: OLIVIER ROUX GROUP MEMBERS: RITA &BRUNOTIPHINE GROUP MEMBERS: THE D3 FAMILY FUND GROUP MEMBERS: THE DAVID AND PATRICIA NIERENBERG 1993 IRREVOCABLE TRUST GROUP MEMBERS: THE NIERENBERG FAMILY 1993 TRUST GROUP MEMBERS: TOXFORD CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEXICAN RESTAURANTS INC CENTRAL INDEX KEY: 0001009244 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 760493269 STATE OF INCORPORATION: TX FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45791 FILM NUMBER: 02831645 BUSINESS ADDRESS: STREET 1: 1135 EDGEBROOK CITY: HOUSTON STATE: TX ZIP: 77034 BUSINESS PHONE: 7139437574 MAIL ADDRESS: STREET 1: 1135 EDGEBROOK CITY: HOUSTON STATE: TX ZIP: 77034 FORMER COMPANY: FORMER CONFORMED NAME: CASA OLE RESTAURANTS INC DATE OF NAME CHANGE: 19960228 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NIERENBERG DAVID CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 19605 N E 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 3606048600 SC 13D/A 1 dn13d211.txt 13D/A #8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8 )* ----- MEXICAN RESTAURANTS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 14712P104 ------------------------------ (CUSIP Number) David Nierenberg, The D3 Family Fund, 19605 NE 8th St., Camas, WA 98607 ------------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 11/14/02 ------------------------------- (Date of Event which Requires Filing of this Statement) *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 the disclosures provided in a prior cover page. The information required in 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). 1 of 21 SCHEDULE 13D CUSIP No. 14712P104 Page 2 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The D3 Family Fund, L.P. (David Nierenberg is President of the General Partner, which is Nierenberg Investment Management Company.) -------------------------------------------------------------------------- 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 Washington -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 799,000 common shares (23.4%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 799,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* PN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 3 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Haredale, Ltd. -------------------------------------------------------------------------- 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 The Bahamas -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 38,000 common shares (1.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 38,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* CO -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 4 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James Henry Hildebrandt -------------------------------------------------------------------------- 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 Canada -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 13,500 common shares (0.4%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 13,500 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 5 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bruno Tiphine -------------------------------------------------------------------------- 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 France -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 4,000 common shares (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 4,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 6 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Rita & Bruno Tiphine -------------------------------------------------------------------------- 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 France -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 7,000 common shares (0.2%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 7,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 7 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Toxford Corporation -------------------------------------------------------------------------- 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 Channel Islands, British Isles -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 10,000 common shares (0.3%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 10,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* CO -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 8 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Olivier Roux -------------------------------------------------------------------------- 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 England -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 20,000 common shares (0.6%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 4,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 9 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Nierenberg Family 1993 Trust -------------------------------------------------------------------------- 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 Washington -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 25,000 common shares (0.7%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 25,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* OO -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 10 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Florence Cies -------------------------------------------------------------------------- 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 California -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 7,300 common shares (0.2%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 7,300 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 14712P104 Page 11 of 21 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The David and Patricia Nierenberg 1993 Irrevocable Trust, Lawrence K. Orr, Trustee, June 11, 1993 -------------------------------------------------------------------------- 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 Washington -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 10,000 common shares (0.3%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 10,000 PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Aggregate amount owned is 933,800 shares (27.4%) -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 27.4% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* OO -------------------------------------------------------------------------- Page 12 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background The D3 Family Fund, L.P., a Washington State partnership, whose principal business is investing in the equities of public micro-cap issuers. Located at 19605 N.E. 8th St., Camas, Washington 98607. No convictions or administrative proceedings as described in Item 2(d) and (e). Item 3. Source and Amount of Funds or Other Consideration Source of funds is money invested in the partnership by its partners. Aggregate amount invested in CASA shares purchased by the partnership is $4,372,767, including commissions. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) D3 owns, and has sole voting and dispositive power over, 799,000 common shares of CASA (22.7%). In addition, 92,500 more common shares of CASA are owned by six foreign entities on whose behalf Mr. Nierenberg is authorized to trade: Haredale, a Bahamian corporation which owns 38,000 shares; James Henry Hildebrandt, a Canadian citizen who owns 13,500 shares; and Toxford Corporation, a Channel Islands corporation which owns 10,000 shares. Olivier Roux, a French citizen who owns 20,000 CASA shares. Bruno Tiphine, a French citizen who own 4,000 shares, and Rita & Bruno Tiphine, Italian & French citizens who own 7,000 CASA shares.Florence Cies, an individual owns 7,300 shares. In addition, The Nierenberg Family 1993 Trust, of which Mr. Nierenberg is trustee, owns 25,000 CASA shares. The David and Patricia Nierenberg 1993 Irrevocable Trust, Lawrence K. Orr, Trustee, June 11, 1993, owns 10,000 CASA shares. Aggregating these six entities and the individual, the group controls 933,800 CASA shares (27.4%). (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer N/A for D3. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ----------------- ------------------------------------ Date David Nierenberg President Nierenberg Investment Management Company, Inc., the General Partner Of The D3 Family Fund, L.P. Page 13 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Haredale Ltd., a Bahamian corporation. (b) P.O. Box N-4465, Nassau, New Providence, The Bahamas. (c) Haredale is in the investment business at the address above. (d) None (e) None (f) The Bahamas. Item 3. Source and Amount of Funds or Other Consideration Haredale owns, and Mr. Nierenberg has sole voting and dispositive power over, its 38,000 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Haredale owns, and Mr. Nierenberg has sole voting and dispositive power over, its 38,000 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Haredale pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Haredale, Ltd. Page 14 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Olivier Roux (b) c/o Talisman Mgmt. Ltd., 37 Ixworth Place, London SW3, England (c) Mr. Roux is in the management consulting business. (d) None (e) None (f) France Item 3. Source and Amount of Funds or Other Consideration Olivier Roux owns, and Mr. Nierenberg has sole voting and dispositive power over 20,000 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Olivier Roux owns, and Mr. Nierenberg has sole voting and dispositive power over 20,000 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Mr. Roux pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Olivier R. Roux Page 15 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) James Henry Hildebrandt, an individual who is a citizen of Canada, resident in Hong Kong. (b) c/o Bain & Company, Tenth Floor, One Pacific Place, 88 Queensway, Hong Kong. (c) Mr. Hildebrandt is in the management consulting business. (d) None (e) None (f) Canada Item 3. Source and Amount of Funds or Other Consideration Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and dispositive power over, his 13,500 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and dispositive power over, his 13,500 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Mr. Hildebrandt pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for John Henry Hildebrandt Page 16 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Bruno Tiphine, an individual who is a citizen of France, resident in England. (b) 92 Fellows Rd., London NW3 3JG, England (c) Mr. Tiphine is in the management consulting business. (d) None (e) None (f) France Item 3. Source and Amount of Funds or Other Consideration Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and dispositive power over, his 4,000 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and dispositive power over 4,000 shares. (c) Transactions in the last 60 days: Date # Purchased Price ---- ----------- ----- 11/15/02 4,000 3.61 (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Mr. Tiphine pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Bruno Tiphine Page 17 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Rita & Bruno Tiphine, a couple who are citizens of Italy & France, residents in England. (b) 92 Fellows Rd., London NW3 3JG, England (c) Mr. Tiphine is a management consultant and Mrs. Tiphine is a homemaker. (d) None (e) None (f) Italy and France Item 3. Source and Amount of Funds or Other Consideration Mr. & Mrs. Tiphine own, and Mr. Nierenberg has sole voting and dispositive power over 7,000 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Mr. & Mrs. Tiphine own, and Mr. Nierenberg has sole voting and dispositive power over 6,900 shares. (c) Transactions in the last 60 days: Date # Purchased Price ---- ----------- ----- 11/15/02 7,000 3.61 (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Mr. Tiphine & Mrs. Tiphine pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Rita & Bruno Tiphine Page 18 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Toxford Corporation, a Channel Islands corporation. (b) P.O. Box 3048, St. Andrews House, Le Bordage, St. Peter Port, Guernsey, Channel Islands, British Isles. (c) Toxford Corporation is in the investment business at the address above. (d) None (e) None (f) Channel Islands, British Isles. Item 3. Source and Amount of Funds or Other Consideration Toxford Corporation owns, and Mr. Nierenberg has sole voting and dispositive power over, its 10,000 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Toxford Corporation owns, and Mr. Nierenberg has sole voting and dispositive power over, its 10,000 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Toxford Corporation pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Toxford Corporation Page 19 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) The Nierenberg Family 1993 Trust, a revocable trust. (b) 19605 N.E. 8th Street, Camas, Washington 98607 (c) A Trust (d) None (e) None (f) United States Item 3. Source and Amount of Funds or Other Consideration The Nierenberg Family 1993 Trust owns, and Mr. Nierenberg has sole voting and dispositive power over, its 25,000 shares. Shares were purchased using margin borrowings. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) The Nierenberg Family 1993 Trust owns, and Mr. Nierenberg has sole voting and dispositive power over, its 25,000 shares. (c) None. (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer N/A Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for The Nierenberg Family 1993 Trust Page 20 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) Florence Cies, an American Citizen. (b) 3300 Narvaez, #26, San Jose, California 95136 (c) Cies is retired. (d) None (e) None (f) American Item 3. Source and Amount of Funds or Other Consideration Cies owns, and Mr. Nierenberg has sole voting and dispositive power over, her 7,300 shares. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) Cies owns, and Mr. Nierenberg has sole voting and dispositive power over, her 7,300 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer N/A Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Florence Cies Page 21 of 21 Item 1. Security and Issuer Common stock of Mexican Restaurants, Inc. (CASA), 1135 Edgebrook, Houston, Texas 77034-1899. Item 2. Identity and Background (a) The David and Patricia Nierenberg 1993 Irrevocable Trust, Lawrence K. Orr, Trustee, June 11, 1993 (b) 19605 N.E. 8th Street, Camas, Washington 98607 (c) A Trust (d) None (e) None (f) United States Item 3. Source and Amount of Funds or Other Consideration The David and Patricia Nierenberg 1993 Irrevocable Trust, Lawrence K. Orr, Trustee, June 11, 1993 owns, and Mr. Orr has sole voting and dispositive power over, its 10,000 shares. Shares were purchased using working capital. Item 4. Purpose of Transaction We have purchased shares of CASA as an investment. We are in accord with management's long term plan to build shareholder value by maximizing free cash flow, monetizing non-core assets, repaying debt, and, ultimately, repurchasing common shares. Item 5. Interest in Securities of the Issuer (a,b) The David and Patricia Nierenberg 1993 Irrevocable Trust, Lawrence K. Orr, Trustee, June 11, 1993 owns, and Mr. Orr has sole voting and dispositive power over, its 10,000 shares. (c) N/A (d) N/A (e) N/A Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer N/A Item 7. Material to be Filed as Exhibits N/A 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. January 7, 2002 DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for The Nierenberg Family 1993 Trust -----END PRIVACY-ENHANCED MESSAGE-----