-----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, VdV9aPgF5dbkyrqiXgCZP0mvUanL0BFOQJ+O6TBWTfY7buYzHZEA52Pt0dshiPrR IQmyJoSh5Vj0pFBXq1OLXQ== 0000927016-97-002997.txt : 19971111 0000927016-97-002997.hdr.sgml : 19971111 ACCESSION NUMBER: 0000927016-97-002997 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971110 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED NATURAL FOODS INC CENTRAL INDEX KEY: 0001020859 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] IRS NUMBER: 050376157 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-48855 FILM NUMBER: 97711955 BUSINESS ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 BUSINESS PHONE: 8607792800 MAIL ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MCFADDEN BARCLAY III CENTRAL INDEX KEY: 0001049357 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: STOW MILLS INC STREET 2: STOW DRIVE CITY: CHESTERFIELD STATE: NH ZIP: 03443-0301 BUSINESS PHONE: 6032563000 MAIL ADDRESS: STREET 1: C/O STOW MILLS INC STREET 2: PO BOX 301 CITY: CHESTERFIELD STATE: NH ZIP: 03443-0301 SC 13D 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Information to be Included in Statements Filed Pursuant to 13d-1(a) and Amendments Thereto Filed Pursuant to 13d-2(a) (Amendment No. ________)* United Natural Foods, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 911163103 - ------------------------------------------------------------------------------- (CUSIP Number) Barclay McFadden, III, Stow Mills, Inc., Stow Drive, Chesterfield, N.H. 03443 (603) 256-3000 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notice and Communications) October 31, 1997 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box: [_] Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rules 13d-1(a) for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 OF 5 SCHEDULE 13D - ----------------------- --------------------- CUSIP NO. 911163103 PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) BARCLAY MCFADDEN, III - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 SC - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 2,025,576 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2,025,576 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,025,576 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 11.67% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 pages CUSIP NO. 911163103 Page 3 of 5 pages Item 1. Security and Issuer ------------------- This schedule relates to the Common Stock, $.01 par value per share (the "Common Stock"), of United Natural Foods, Inc., a Delaware corporation (the "Company"), which has its principal executive offices located at 260 Lake Road, Dayville, Connecticut 06241. Item 2. Identity and Background ----------------------- This statement is filed by Barclay McFadden, III. During the last five years, Mr. McFadden has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Mr. McFadden is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration ------------------------------------------------- On October 31, 1997, GEM Acquisition Corp., a wholly owned subsidiary of the Company, merged with and into Stow (the "Merger"), whereupon Stow became a wholly owned subsidiary of the Company. Upon consummation of the Merger, Mr. McFadden's shares of capital stock of Stow were converted into an aggregate of 2,025,576 shares of Common Stock of the Company. Item 4. Purpose of Transaction ---------------------- The acquisition of securities of the Company by Mr. McFadden occurred in connection with the Merger. Mr. McFadden was a principal stockholder of Stow. In connection with the Merger, the principal stockholders of the Company entered into a Board Election Securityholder Voting Agreement in which they agreed to elect Mr. McFadden to a three-year term on the Company's Board of Directors. Item 5. Interest in Securities of the Issuer ------------------------------------ Mr. McFadden beneficially owns 2,025,576 shares of Common Stock, which represents approximately 11.67% of the total outstanding shares of Common Stock. Mr. McFadden is the direct owner of all 2,025,576 shares for which he exercises sole investment and voting power. Mr. McFadden did not effect any transaction in the shares of Common Stock in the past 60 days. Item 6. Contracts, Arrangements, Understandings or Relationships with ------------------------------------------------------------- Respect to Securities of the Issuer ----------------------------------- The Company, Mr. McFadden, Richard S. Youngman, James S. McDonald, as Trustee of the Barclay McFadden Family Trust, Jonathan Jacobowitz, Thomas A. Nunziata, Michelle Cherrier, Thomas Morrison Carnegie McFadden, George Stillman McFadden and Barclay McFadden, IV have entered into a Registration Rights Agreements pursuant to which the Company will provide the former Stow stockholders with certain registration rights with respect to the Company's Common Stock issued to him in connection with the Merger. Page 3 of 5 pages CUSIP NO. 911163103 Page 4 of 5 pages Item 7. Material to be Filed as Exhibits -------------------------------- Please see Exhibit Index attached hereto. Signatures 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. 11/10/97 /s/ Barclay McFadden, III -------- ------------------------- Date Barclay McFadden, III Page 4 of 5 pages CUSIP NO. 911163103 Page 5 of 5 pages INDEX TO EXHIBITS Description ----------- 1.* Agreement and Plan of Reorganization dated as of June 23, 1997, and as amended and restated as of August 8, 1997, among the Company, GEM Acquisition Corp., a wholly owned subsidiary of the Company, Stow and Barclay McFadden, III and Richard S. Youngman. 2.** Form of Registration Rights Agreement by and among the Company and Mr. McFadden, Richard S. Youngman, James S. McDonald, as Trustee of the Barclay McFadden Family Trust, Jonathan Jacobowitz, Thomas A. Nunziata, Thomas Morrison Carnegie McFadden, George Stillman McFadden and Barclay McFadden, IV. - -------------------- * Incorporated herein by reference to Annex A to the Company's Proxy Statement, dated October 15, 1997, relating to the issuance of shares of Common Stock in connection with the Merger. ** Incorporated herein by reference to Exhibit B to Annex A to the Company's Proxy Statement, dated October 15, 1997, relating to the issuance of shares of Common Stock in connection with the Merger. Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----