-----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, GRZf09c4PJQ7TjItIQvH210hsAMSufKBB3/jnD9AaY6uZLmrHFYJ6ZAxzmU3Amyq 8JT3xcVt/YvBLxd63J2qrQ== 0001104659-08-067704.txt : 20081104 0001104659-08-067704.hdr.sgml : 20081104 20081103212356 ACCESSION NUMBER: 0001104659-08-067704 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 5 FILED AS OF DATE: 20081104 DATE AS OF CHANGE: 20081103 GROUP MEMBERS: SHARON THOMPSON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRUBB & ELLIS CO CENTRAL INDEX KEY: 0000216039 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE AGENTS & MANAGERS (FOR OTHERS) [6531] IRS NUMBER: 941424307 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32339 FILM NUMBER: 081159023 BUSINESS ADDRESS: STREET 1: 500 WEST MONROE STREET STREET 2: SUITE 2800 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 3126986700 MAIL ADDRESS: STREET 1: 500 WEST MONROE STREET STREET 2: SUITE 2800 CITY: CHICAGO STATE: IL ZIP: 60661 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Thompson Anthony W CENTRAL INDEX KEY: 0001304188 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 714-667-8252, X207 MAIL ADDRESS: STREET 1: C/O THOMPSON FAMILY OFFICE STREET 2: 1901 MAIN STREET, SUITE 108 CITY: IRVINE STATE: CA ZIP: 92614 SC 13D/A 1 a08-27484_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D/A

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

 

Grubb & Ellis Company

(Name of Issuer)

 

Common Stock, $0.01 par value

(Title of Class of Securities)

 

40009 52 0

(CUSIP Number)

 

Anthony W. Thompson

Thompson National Properties, LLC

1901 Main Street, Suite 108

Irvine, CA 92614

(949) 833-8252

(Name, Address and Telephone Number of Persons
Authorized to Receive Notices and Communications)

 

October 30, 2008

(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 Sections 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 Section 240.13d-7(b) 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).

 



 

CUSIP No.     40009 52 0

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Anthony W. Thompson

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
4,608,936

 

8.

Shared Voting Power
4,591,772

 

9.

Sole Dispositive Power
4,608,936

 

10.

Shared Dispositive Power
4,591,772

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
9,200,708*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
14.1%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 


* Mr. Thompson may be deemed to be the beneficial owner of 9,200,708 shares.  These shares are held as follows: (i) 2,699,730 shares are held of record by Mr. Thompson and, accordingly, Mr. Thompson is entitled to exercise sole voting and dispositive power with respect to such shares; (ii) 701,875 shares are held by AWT Family L.P., of which Mr. Thompson and his spouse, Sharon Thompson, are the sole limited partners (the corporate general partner of AWT Family L.P. is controlled by Mr. Thompson and, accordingly, Mr. Thompson is entitled to exercise sole voting and dispositive power with respect to the shares held by such entity); (iii) 679,331 shares are held by NNN Cunningham Stafford, LLC, of which Mr. Thompson is the sole member and, accordingly, Mr. Thompson is entitled to exercise sole voting and dispositive power with respect to the shares held by such entity; (iv) 4,591,772 shares are held in a brokerage account by Mr. and Mrs. Thompson as joint tenants with a right of survivorship and, accordingly, Mr. and Mrs. Thompson share voting and dispositive power with respect to such shares; and (v) 528,000 shares the rights to which are held as further described under Item 6 of this report.

 

2



 

CUSIP No.     40009 52 0

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Sharon Thompson

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 x

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
OO

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
4,591,772

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
4,591,772

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,293,647*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
8.1%%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 


* Sharon Thompson may be deemed to be the beneficial owner of 5,293,647 shares.  These shares are held as follows: (i) 701,875 shares are held by AWT Family L.P., of which Mrs. Thompson and her spouse, Mr. Thompson, are the sole limited partners (the corporate general partner of AWT Family L.P. is controlled by Mr. Thompson and, accordingly, Mr. Thompson is entitled to exercise sole voting and dispositive power with respect to the shares held by such entity), although Mrs. Thompson expressly disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein; and (ii) 4,591,772 shares are held in a brokerage account by Mr. and Mrs. Thompson as joint tenants with a right of survivorship and, accordingly, Mr. and Mrs. Thompson share voting and dispositive power with respect to such shares.

 

3



 

This Amendment No. 3 (this “Amendment”) relates to the Schedule 13D filed by Anthony W. Thompson with the Securities and Exchange Commission on December 17, 2007, as amended by Amendment No. 1 filed on June 26, 2008 and Amendment No. 2 filed on October 27, 2008 (the “Schedule 13D”), relating to shares of common stock, $.01 par value per share, of Grubb & Ellis Company (the “Company”).   This Amendment is being filed on behalf of Anthony W. Thompson and Sharon Thompson (collectively, the “Reporting Persons”).

 

Items 6 and 7 of the Schedule 13D are hereby amended and supplemented as follows:

 

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of Issuer

 

This Item 6 is hereby amended by adding the following: 

 

As previously reported, on December 6, 2007, Mr. Thompson and Scott D. Peters, the former Chief Executive Officer and President of the Company, entered into that certain Letter Agreement regarding transfer of shares of common stock of NNN Realty Advisors, Inc. from Anthony W. Thompson to Scott D. Peters (the “Letter Agreement”) pursuant to the terms of which Mr. Thompson assigned 600,000 shares of the common stock of NNN Realty Advisors, Inc. (which shares were subsequently converted into approximately 528,000 shares of the common stock of the Company) to Mr. Peters, it being agreed at the time that such shares were to be held in escrow (the “Escrowed Shares”) pending certain vesting and forfeiture events specified in the Letter Agreement. 

 

Mr. Thompson and Mr. Peters have entered into agreements effecting the transfer of all right, title and interest in the Escrowed Shares from Mr. Peters to Mr. Thompson and providing Mr. Thompson with the authority to vote the Escrowed Shares until such time as record ownership of the Escrowed Shares is transferred to Mr. Thompson on the books and records of the Company.  Pursuant to the Assignment of Stock Separate from Certificate and Power of Attorney (a copy of which is attached to this filing as Exhibit 99.7), effective as of October 27, 2008, Mr. Peters transferred all right, title and interest in the Escrowed Shares to Mr. Thompson and agreed to take any further action as may be necessary to confirm or give effect to such transfer.  In addition, Mr. Peters executed an Irrevocable Proxy (a copy of which is attached to this filing as Exhibit 99.8), dated as of October 30, 2008, appointing Mr. Thompson as Mr. Peters’ proxy and authorizing Mr. Thompson, among other things, to vote the Escrowed Shares at the annual meeting of the Company’s stockholders scheduled for December 3, 2008, which proxy authority will remain effective until such time as record ownership of the Escrowed Shares is transferred to Mr. Thompson on the books and records of the Company.  Upon the transfer of record ownership of the Escrowed Shares to Mr. Thompson, Mr. Thompson may assign his interest in the Escrowed Shares to one or more of his affiliates.

 

 

Item 7.

Material to be Filed as Exhibits

 

Exhibit 99.7

 

Assignment of Stock Separate from Certificate and Power of Attorney, dated as of October 27, 2008, executed by Scott D. Peters

 

 

 

Exhibit 99.8

 

Irrevocable Proxy, dated as of October 30, 2008, executed by Scott D. Peters

 

 

 

Exhibit 99.9

 

Joint Filing Agreement, dated as of November 3, 2008, by and between Anthony W. Thompson and Sharon Thompson

 

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.

 

 

 

 

 

/s/ Anthony W. Thompson

 

Anthony W. Thompson

 

 

 

 

Date: November 3, 2008

 

5



 

 

 

/s/ Sharon Thompson

 

Sharon Thompson

 

 

Date: November 3, 2008

 

6


EX-99.7 2 a08-27484_1ex99d7.htm EX-99.7

Exhibit 99.7

 

ASSIGNMENT OF STOCK SEPARATE FROM CERTIFICATE
AND POWER OF ATTORNEY

 

This ASSIGNMENT OF STOCK SEPARATE FROM CERTIFICATE AND POWER OF ATTORNEY (this “Assignment”) is made and executed effective as of October 27, 2008 (the “Effective Date”), by SCOTT D. PETERS, an individual (“Assignor”), in favor of ANTHONY W. THOMPSON, an individual (“Assignee”).

 

1.               Assignment. For good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged. Assignor hereby transfers, conveys, grants and assigns to Assignee and Assignee’s successors and assigns forever, all right, title and interest in and to 528,000 shares of stock (the “Stock”) in Grub & Ellis Company (the “Company”) held in the name of Assignor and acquired from Assignee pursuant to that Letter Agreement by and between Assignor and Assignee dated December 6, 2007 (the “Letter Agreement”). As used herein, the “Stock” shall mean any and all equity ownership in the Company acquired by Assignor from Assignee pursuant to the Letter Agreement, including without limitation any other stock, property, distribution, claim, right, power, privilege or other benefit, of any kind whatsoever, derived from or related to the Company or any portion thereof, whether vested or unvested, contingent or fixed, legal or equitable, disputed or undisputed, liquidated or unliquidated, resulting from any stock divided stock split, recapitalization, combination, reclassification, or similar change in capital structure of the Company.

 

2.               Delivery of Stock Certificates. Assignor shall deliver to Assignee any original certificate(s) representing the Stock, duly transferred to Assignee (the “Stock Certificates”).

 

3.               Power of Attorney. Assignor hereby irrevocably appoints and constitutes Andrea D. Biller, Corporate Secretary of the Company, or any successor Secretary to the Company, as Assignor’s attorney-in-fact, with full power of substitution and re-substitution, to (a) make, execute and deliver the transfer or indorsement of the Stock Certificates to Assignee, and (b) to make, execute and deliver this Assignment on behalf of Assignor and to complete any provision of this Assignment to the extent that such provision remains blank or otherwise incomplete following such making, execution and delivery. Assignor and Assignee understand, acknowledge and agree that this appointment is coupled with an interest and may not be revoked by Assignor without the consent of the Assignee.

 

4.             Legal Opinion. Assignee shall provide any legal opinions required by the Company or its transfer agent in order to effect the transfer of the record ownership of the Stock to Assignee, free and clear of any transfer restrictions or legends thereon, including any legends under Rule l44. This provision does not prevent Assignee from seeking reimbursement from the Company or any other party aside from Assignor for any cost and expense Assignee incurs for the legal opinion.

 

5              Further Assurances. Assignor agrees to provide any and all further assurances; to take any and all further actions; and to execute, acknowledge, verify, certify, deliver, enter into file and/ or record any and all other agreements, contracts, amendments, assignments, instruments, statements, certificates and documents necessary or appropriate to perfect, confirm, consummate, close and effect the transactions contemplated by this Assignment.

 



 

6.             Governing Law. This Assignment and the respective rights, powers, privileges and authority and the respective duties, obligations and liabilities of the parties under this Assignment shall be governed by, and construed, interpreted and enforced in accordance with, the laws of the State of California, without giving effect to any principle or doctrine regarding conflicts of laws.

 

7.             Authority. The individual executing this Assignment hereby represents and warrants to Assignee that such party has full power and authority to enter into this Assignment and that neither Assignor nor the Stock is subject to any restriction on transfer of the Stock to Assignee under any law, rule, regulation or policy, including without limitation any insider trading restrictions imposed by law or the Company.

 

8.             Successors and Assigns. This Assignment shall be binding upon and shall inure to the benefit of Assignor’s and Assignee’s respective successors and assigns.

 

9.             Counterparts. This Assignment may be executed in multiple counterparts, each of which shall be deemed an original but all of which, taken together, shall constitute one and the same instrument. Each signatory may affix his or her respective signatures to this Assignment in any manner so long as such signatory acknowledges such signature as his or her own. Executed signature pages from separate counterpart originals may be attached to a single counterpart copy. Facsimile signatures may be used in order to close the transactions contemplated hereby; provided, however, that original signatures will promptly follow (by FedEx, other overnight messenger or courier service) the delivery of such facsimile signatures.

 

IN WITNESS WHEREOF, Assignor has made, executed and delivered this Assignment as of the Effective Date hereof.

 

“Assignor”

 

 

   /s/ Scott D. Peters

 

SCOTT D. PETERS, an individual

 

2



 

CERTIFICATE OF ACKNOWLEDGEMENT OF NOTARY PUBLIC

 

State of Arizona

 

County of Maricopa

 

On October 31, 2008, before me, Paul Dicerbo, Notary Public, personally appeared SCOTT D. PETERS, who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that he executed the same in her authorized capacity, and that by her signature on the instrument the person, or the entity upon behalf of which the person acted, executed the instrument.

 

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

 

WITNESS my hand and official seal.

 

(Notary Seal and/or Stamp Below)

 

 

 

/s/ Paul Dicerbo

 

 

Signature of Notary Public

 

 

 

Paul Dicerbo

 

Printed Name of Notary Public

 

 

 

 

 

3


EX-99.8 3 a08-27484_1ex99d8.htm EX-99.8

Exhibit 99.8

 

IRREVOCABLE PROXY

 

The undersigned shareholder of Grubb & Ellis Company a Delaware corporation (“GBE”), hereby irrevocably appoints and constitutes Anthony W. Thompson, an individual (the “Proxyholder”), as the agent and proxy of the undersigned, with full power of substitution and resubstitution, to the full extent of the undersigned’s rights with respect to the shares of capital stock of GBE owned of record by the undersigned, which shares are listed below (the “Shares”), to represent it at all annual and special meetings of the shareholders of GBE, and the undersigned hereby authorizes and empowers Proxyholder to vote any and all Shares owned by the undersigned or standing in his name, and do all things which the undersigned might do if present and acting itself.

 

This irrevocable proxy is given to facilitate the transfer of all rights in the Shares as of the signing of the Settlement Agreement and Limited Mutual Release between Scott D. Peters and the Proxyholder.

 

THE PROXY GRANTED BY THE UNDERSIGNED SHAREHOLDER TO THE PROXYHOLDER HEREBY IS IRREVOCABLE AND COUPLED WITH AN INTEREST. THIS PROXY SHALL SURVIVE THE INSOLVENCY, INCAPACITY, DEATH OR LIQUIDATION OF THE UNDERSIGNED.

 

Upon the execution hereof, all prior proxies given by the undersigned with respect to the Shares and any and all other shares or securities (i) issued or issuable in respect thereof on or after the date hereof and prior to the date this proxy terminates and/or (ii) issued to the undersigned shareholder on or after the date hereof and prior to the date this proxy terminates, are hereby revoked and no subsequent proxies will be given by the undersigned with respect to the Shares.

 

Any obligation of the undersigned hereunder shall be binding upon the successors and assigns of the undersigned. The undersigned shareholder authorizes the Proxyholder to file this proxy and any substitution or revocation of substitution with the Secretary of GBE and with any Inspector of Elections at any meeting of the shareholders of GBE.

 

THIS PROXY SHALL TERMINATE ON THE DATE THE RECORD OWNERSHIP OF THE SHARES IS TRANSFERRED TO THE PROXYHOLDER.

 

Dated:

10/30/08

 

 

 

 

 

Signature of Shareholder:

 

/s/ Scott D. Peters

 

 

 

Print name of Shareholder:

 

Scott D. Peters

 

 

 

Shares of record owned:

 

528,000 shares of Common Stock

 


EX-99.9 4 a08-27484_1ex99d9.htm EX-99.9

Exhibit 99.9

 

JOINT FILING AGREEMENT

 

The undersigned hereby acknowledge and agree, in compliance with the provisions of Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, that the Schedule 13D amendment to which this Agreement is attached as Exhibit 99.9, and any amendments thereto, will be filed with the Securities and Exchange Commission jointly on behalf of the undersigned. This Agreement may be executed in one or more counterparts.

 

Dated:  November 3, 2008

 

 

 

/s/ Anthony W. Thompson

 

Anthony W. Thompson

 

 

 

 

 

/s/ Sharon Thompson

 

Sharon Thompson

 


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