-----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, Sm0JzTYTlIZx/0GyRGXrA0Z8aGvDw9ORTH/31XRRkXXf0k4xNEzZsWEhlRJa34xx 6Bc3lY58OX10vfiL7evxWA== 0001283875-09-000001.txt : 20090105 0001283875-09-000001.hdr.sgml : 20090105 20090105163444 ACCESSION NUMBER: 0001283875-09-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090105 DATE AS OF CHANGE: 20090105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUNT JOHN CENTRAL INDEX KEY: 0001182033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32711 FILM NUMBER: 09505748 MAIL ADDRESS: STREET 1: PO BOX 2000 STREET 2: 3905 DAKOTA STREET SW CITY: ALEXANDRIA STATE: MN ZIP: 56308 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SoftBrands, Inc. CENTRAL INDEX KEY: 0001311926 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 412021446 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO MERIDIAN CROSSING, SUITE 800 CITY: MINNEAPOLIS STATE: MN ZIP: 55423 BUSINESS PHONE: 612-851-1900 MAIL ADDRESS: STREET 1: TWO MERIDIAN CROSSING, SUITE 800 CITY: MINNEAPOLIS STATE: MN ZIP: 55423 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2008-12-31 0 0001311926 SoftBrands, Inc. SBN 0001182033 HUNT JOHN PO BOX 2000 3905 DAKOTA STREET SW ALEXANDRIA MN 56308 1 0 0 0 Common Stock 2008-12-31 4 P 0 1947088 0.42 A 1965088 I See Footnote Series C-1 Convertible Preferred Stock 2.01 2005-08-17 Common Stock 7462687 15000 I See Footnote Stock Purchase Warrant 2.11 2005-08-17 2015-08-17 Common Stock 1000000 1000000 I See Footnote Stock Appreciation Right 1.75 2006-07-31 2011-07-31 Common Stock 10000 10000 I See Footnote Series D Convertible Preferred Stock 1.67 2006-08-14 Common Stock 2994011 5000 I See Footnote Stock Purchase Warrant 1.84 2006-08-14 2016-08-15 Common Stock 333333 333333 I See Footnote Stock Apreciation Right 2.13 2007-07-31 2012-07-31 Common Stock 10000 10000 I See Footnote Stock Apreciation Right 1.9 2007-10-01 2012-10-01 Common Stock 5000 5000 I See Footnote Stock Apreciation Right 1 2008-07-31 2013-07-31 Common Stock 15000 15000 I See Footnote Right to Acquire 0.42 2008-12-31 4 P 0 1915343 0 A 2008-12-31 2009-05-15 Common Stock 1915343 1915343 I See Footnote Includes 4,667 restricted stock units that vest on 7/31/09 and 2,334 restricted stock units that vest on 7/31/10. The reported securities are owned directly by ABRY Mezzanine Partners, L.P. ("ABRY"). The general partner of ABRY is ABRY Mezzanine Investors, L.P. ("ABRY Investors"). ABRY Investors' general partner is ABRY Mezzanine Holdings, LLC ("ABRY Holdings") whose managing partner is Royce Yudkoff. An Investment Committee of ABRY Holdings exercises exclusive decision making authority with respect to investments by ABRY. John Hunt acts a director of the Issuer on behalf of ABRY and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein by virtue of his ownership interest in ABRY. ABRY also may be deemed a director by virtue of its right to nominate a representative to serve on SoftBrands' Board of Directors. Conversion Price is subject to adjustment. Each share of Preferred Stock is convertible at any time at the holder's option and, subject to satisfaction of current conditions, may be redeemed by the Issuer at any time after August 17, 2007. Exercise Price subject to adjustment. Exercisable with respect to 1/3 of such shares on such date and with respect to an additional cumulative 1/3 of such shares on the next three anniversaries of such date. John Hunt 2009-01-05 -----END PRIVACY-ENHANCED MESSAGE-----