-----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, CRBHqDBOADysTqZ7i4Pcpd6mkY1pJ3pDY6gYR5IswlLRw3WEk00Ld7U7WYlAz/qF 0Xc+P4kiatP3+N+DbCRziA== 0000950134-06-016863.txt : 20060828 0000950134-06-016863.hdr.sgml : 20060828 20060828122514 ACCESSION NUMBER: 0000950134-06-016863 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060828 DATE AS OF CHANGE: 20060828 GROUP MEMBERS: ALEX MERUELO GROUP MEMBERS: ALEX MERUELO LIVING TRUST FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Armona Luis CENTRAL INDEX KEY: 0001372456 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 214-651-5291 MAIL ADDRESS: STREET 1: 9550 FIRESTONE BLVD. STREET 2: SUITE 105 CITY: DOWNEY STATE: CA ZIP: 90241 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57387 FILM NUMBER: 061057786 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 SC 13D/A 1 d39231a1sc13dza.htm AMENDMENT TO SCHEDULE 13D sc13dza
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 1 )*

Rubio’s Restaurant, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
78116B102
(CUSIP Number)
Garrett A. DeVries
Haynes and Boone, LLP
901 Main Street, Suite 3100
Dallas, Texas 75202
(214) 651-5614
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
August 24, 2006
(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. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 


 

                     
CUSIP No.
 
78116B102 
  Page  
  of   

 

           
1   NAMES OF REPORTING PERSONS:

Alex Meruelo Living Trust
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
 
 
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   þ 
  (b)   o 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  OO – Trust Funds
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e):  o
   
  N/A
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  California
       
  7   SOLE VOTING POWER:
     
NUMBER OF   601,600 (1)
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   601,600 (1)
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  601,600
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):  o
   
  N/A
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
   
  6.3% (2)
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  OO – Trust
(1)   Power is exercised through its sole trustee, Alex Meruelo.
 
(2)   Based upon 9,559,807 shares outstanding as of August 2, 2006 as reported in the Form 10-Q for the quarterly period ended June 25, 2006.


 

                     
CUSIP No.
 
78116B102 
  Page  
  of   

 

           
1   NAMES OF REPORTING PERSONS:

Alex Meruelo
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
 
 
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   þ 
  (b)   o 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  PF
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e):  o
   
  N/A
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  United States
       
  7   SOLE VOTING POWER:
     
NUMBER OF   601,600 (1)
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   601,600 (1)
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  601,600
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):  o
   
  N/A
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
   
  6.3% (2)
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN
(1)   Alex Meruelo is the beneficial owner of the reported shares by virtue of his position of Trustee of the Alex Meruelo Living Trust.
 
(2)   Based upon 9,559,807 shares outstanding as of August 2, 2006 as reported in the Form 10-Q for the quarterly period ended June 25, 2006.


 

                     
CUSIP No.
 
78116B102 
  Page  
  of   

 

           
1   NAMES OF REPORTING PERSONS:

Luis Armona
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
 
 
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   þ 
  (b)   o 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  PF
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e):  o
   
  N/A
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  United States
       
  7   SOLE VOTING POWER:
     
NUMBER OF   200,000
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   200,000
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  200,000
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):  o
   
  N/A
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
   
  2.1% (1)
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN
(1)   Based upon 9,559,807 shares outstanding as of August 2, 2006 as reported in the Form 10-Q for the quarterly period ended June 25, 2006.


 

This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D filed by the Reporting Persons with the Securities and Exchange Commission (the “Commission”) on August 14, 2006, (as amended, the “Schedule 13D”) relating to the common stock, par value $0.001 per share (“Common Stock”), of Rubio’s Restaurants, Inc., a Delaware corporation (the “Issuer”). Capitalized terms used herein which are not defined herein have the meanings attributed to such terms in the Schedule 13D. Except as otherwise expressly provided herein, all Items of the Schedule 13D remain unchanged.
ITEM 3.  SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
     Item 3 is hereby supplemented as follows:
     On August 16, 2006, the Alex Meruelo Living Trust purchased 9,100 shares of Common Stock for a total purchase price of approximately $69,565. On August 17, 2006, the Alex Meruelo Living Trust purchased 25,000 shares of Common Stock for a total purchase price of approximately $200,005. On August 18, 2006, the Alex Meruelo Living Trust purchased 6,100 shares of Common Stock for a total purchase price of approximately $49,110. On August 21, 2006, the Alex Meruelo Living Trust purchased 500 shares of Common Stock for a total purchase price of approximately $3,965. On August 22, 2006, the Alex Meruelo Living Trust purchased 5,000 shares of Common Stock for a total purchase price of approximately $40,255. On August 24, 2006, the Alex Meruelo Living Trust purchased 163,900 shares of Common Stock for a total purchase price of approximately $1,319,187. On August 25, 2006, the Alex Meruelo Living Trust purchased 12,100 shares of Common Stock for a total purchase price of approximately $97,410. The Alex Meruelo Living Trust purchased such shares with trust funds from the Alex Meruelo Living Trust.
ITEM 5.  INTEREST IN SECURITIES OF THE ISSUER
Item 5 is hereby amended and restated in its entirety to read as follows:
     (a)  As of August 25, 2006, the Alex Meruelo Living Trust was the beneficial owner of 601,600 shares of Common Stock (which represents approximately 6.3% of the outstanding Common Stock based on information reported in the Company’s Form 10-Q for the quarterly period ended June 25, 2006). Pursuant to Rule 13d-3, Mr. Meruelo is deemed the beneficial owner of the shares of Common Stock held by the Alex Meruelo Living Trust due to his position as Trustee and because the trust is revocable. As of August 4, 2006, Mr. Armona was the beneficial owner of 200,000 shares of Common Stock (which represents approximately 2.1% of the outstanding Common Stock based on information reported in the Company’s Form 10-Q for the quarterly period ended June 25, 2006).
                                     
(b)       Shared   Sole   Shared   Sole
        Voting   Voting   Dispositive   Dispositive
        Power   Power   Power   Power
 
  Alex Meruelo Living Trust     0       601,600       0       601,600  
 
  Alex Meruelo     0       601,600       0       601,600  
 
  Luis Armona     0       200,000       0       200,000  

 


 

     (c)  During the past sixty days, the only transactions in the Common Stock effected by the Alex Meruelo Living Trust were the following open market purchases:
                 
            Number of Shares
Date   Price   Acquired
6/28/2006
  $ 8.30       39,300  
7/5/2006
  $ 8.12       9,000  
8/4/2006
  $ 7.19       124,300  
8/8/2006
  $ 7.61       1,500  
8/8/2006
  $ 7.51       13,200  
8/16/2006
  $ 7.64       9,100  
8/17/2006
  $ 8.00       25,000  
8/18/2006
  $ 8.05       6,100  
8/21/2006
  $ 7.93       500  
8/22/2006
  $ 8.05       5,000  
8/24/2006
  $ 8.05       163,900  
8/25/2006
  $ 8.05       12,100  
     During the past sixty days, the only transactions in the Common Stock effected by Mr. Armona were the following open market purchases:
                 
            Number of Shares
Date   Price   Acquired
7/11/2006
  $ 8.02       100,000  
7/24/2006
  $ 7.56       8,100  
8/2/2006
  $ 7.22       41,200  
8/4/2006
  $ 7.19       50,700  
     (d)  Not applicable.
     (e)  Not applicable.

 


 

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: August 28, 2006
         
  Alex Meruelo Living Trust


 
  By:   /s/ Alex Meruelo  
    Alex Meruelo, Trustee  
       
 
     
  By:   /s/ Alex Meruelo  
    Alex Meruelo   
       
 
     
  By:   /s/ Luis Armona  
    Luis Armona   
       
 

 

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