-----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, Een0YpTeW/Cp6ZZtrfboQ5CzcPEd93iOrAvPUfWQUN/Lj7Oyfc+h9mb2puTAL9Dr nkTzTXwHuH6n2AZCGYLUHg== 0000912057-00-006934.txt : 20000216 0000912057-00-006934.hdr.sgml : 20000216 ACCESSION NUMBER: 0000912057-00-006934 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RUBIOS RESTAURANTS INC CENTRAL INDEX KEY: 0001082423 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 330100303 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57387 FILM NUMBER: 544764 BUSINESS ADDRESS: STREET 1: 1902 WRIGHT PL STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 7609298226 MAIL ADDRESS: STREET 1: 1902 WRIGHT PL STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSEWOOD CAPITAL LP CENTRAL INDEX KEY: 0000922389 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943195569 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE MARITIME PLAZA #1330 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153625526 MAIL ADDRESS: STREET 1: ONE MARITIME PLAZA #1330 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _)* RUBIO'S RESTAURANTS, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 (Title of Class of Securities) 78116B102 (CUSIP Number) MAY 26, 1999 (Date of Event Which Requires Filing of this Statement) Kyle Anderson Rosewood Capital, L.P. One Maritime Plaza #1330 San Francisco, CA 94111 (415) 362-5526 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) /x/ Rule 13d-1(c) / / Rule 13d-1(d) *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 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). - ------------------------------------------------------------------------------- CUSIP No.: 78116B102 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Rosewood Capital, L.P. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) /x/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES - 1,526,812 - BENEFICIALLY -------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING -0- PERSON -------------------------------------- WITH 7 SOLE DISPOSITIVE POWER -1,526,812- -------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,526,812 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 17.2% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON PN - ------------------------------------------------------------------------------- Item 1. (a) NAME OF ISSUER: Rubio's Restaurants, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1902 Wright Place, Suite 300 Carlsbad, CA 92008 2 Item 2. (a) NAME OF PERSON FILING: Rosewood Capital, L.P. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: One Maritime Plaza #1330 San Francisco, California 94111 (c) CITIZENSHIP: State of California (d) TITLE OF CLASS OF SECURITIES: Common Stock, Par Value $.001 (e) CUSIP NUMBER: 78116B102 Item 3. Not Applicable. Item 4. OWNERSHIP (a) AMOUNT BENEFICIALLY OWNED: -1,526,812- (b) PERCENT OF CLASS: 17.2% (1) Rosewood Capital, L.P. ("Rosewood") is the registered holder of 1,526,812 shares of Common Stock. Pursuant to Rule 13d-1(c) of the Securities Exchange Act of 1934, as amended, Rosewood is required to file a Schedule 13G with respect to such shares by February 14, 2000. Rosewood became the registered holder of such shares of Common Stock by virtue of the effectiveness of that certain Form S-1 of Rubio's Restaurants, Inc. on or about May 26, 1999 and the completion of the initial public offering of Common Stock of Rubio's Restaurants, Inc. Upon completion of such initial public offering, Rosewood's 1,526,812 shares of preferred stock in Rubio's Restuarants, Inc. automatically converted into Common Stock on a one-for-one basis. (2) Based on 8,867,119, the number of shares of Common Stock outstanding as of November 2, 1999 (as reported in Rubio's Restaurants, Inc.'s Form 10-Q filed with the SEC on November 10, 1999), Rosewood's percentage ownership is 17.2% as of the date of this filing. (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE -1,526,812- (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE -0- (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF -1,526,812- (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF -0- Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not Applicable. 3 Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable. Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable. Item 9. NOTICE OF DISSOLUTION OF A GROUP Not Applicable. Item 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. [Remainder of page intentionally blank] 4 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. February 10, 2000 ROSEWOOD CAPITAL, L.P. By: Rosewood Capital Associates, L.L.C., a Delaware limited liability company By: /s/ Kyle Anderson --------------------------------- Kyle A. Anderson Managing Member -----END PRIVACY-ENHANCED MESSAGE-----