-----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, KdhG8ckJboISCfro+uNDfPz5x3TtcoMr3Yeersw3mdHwt0JlptVkuoa582Kg4wxx plBr8WjN61JQSFji/GK8RA== 0000950103-00-000352.txt : 20000307 0000950103-00-000352.hdr.sgml : 20000307 ACCESSION NUMBER: 0000950103-00-000352 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000306 GROUP MEMBERS: MORGAN STANLEY DEAN WITTER & CO GROUP MEMBERS: PG INVESTORS, INC. GROUP MEMBERS: PRINCES GATE INVESTORS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PANERA BREAD CO CENTRAL INDEX KEY: 0000724606 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 042723701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1226 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-42571 FILM NUMBER: 561521 BUSINESS ADDRESS: STREET 1: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6174232100 MAIL ADDRESS: STREET 1: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 FORMER COMPANY: FORMER CONFORMED NAME: AU BON PAIN CO INC DATE OF NAME CHANGE: 19940201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13D 1 =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ----------------------- SCHEDULE 13D Under the Securities Exchange Act of 1934 (Final Amendment) PANERA BREAD COMPANY (Name of Issuer) CLASS A COMMON STOCK $.0001 PAR VALUE (Title of Class of Securities) ----------------------- 050103 10 0 (Cusip Number) Morgan Stanley Dean Witter & Co. PG Investors, Inc. Princes Gate Investors, L.P. (Name of Persons Filing Statement) Peter R. Vogelsang Morgan Stanley Dean Witter & Co. 1585 Broadway, 36th Floor New York, NY 10036 Tel No.: (212) 761-4000 with a copy to: Paul R. Kingsley Davis Polk & Wardwell 450 Lexington Avenue New York, NY 10017 Tel No.: (212) 450-4000 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 14, 1999 (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 statement because of Rule 13d-1(b)(3) or (4), check the following: o Check the following box if a fee is being paid with this statement: o =============================================================================== Page 1 of 7 SCHEDULE 13D CUSIP No. 050103 10 0 Page 2 of 7 Pages - -------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Morgan Stanley Dean Witter & Co. 36-3145972 - -------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Inapplicable - -------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER -0- ---------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES 150,000 BENEFICIALLY OWNED BY ---------------------------------------------------- EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH -0- ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER 150,000 - -------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 - -------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.39% - -------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO, IA - -------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SEC 1746 (9-88) 2 of 7 Page 2 of 7 SCHEDULE 13D CUSIP No. 050103 10 0 Page 3 of 7 Pages - -------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON PG Investors, Inc. 13-3642657 - -------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Inapplicable - -------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 26,785 ---------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES 123,215 BENEFICIALLY OWNED BY ---------------------------------------------------- EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 26,785 ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER 123,215 - -------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 - -------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.39% - -------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO, IA - -------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SEC 1746 (9-88) 3 of 7 Page 3 of 7 SCHEDULE 13D CUSIP No. 050103 10 0 Page 4 of 7 Pages - -------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Princess Gate Investors, L.P. - -------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Inapplicable - -------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ---------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES 112,392 BENEFICIALLY OWNED BY ---------------------------------------------------- EACH REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 0 ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER 112,392 - -------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 112,392 - -------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.04% - -------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN, IA - -------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! SEC 1746 (9-88) 4 of 7 Page 4 of 7
The following information hereby amends and supplements the Report on Schedule 13D, originally filed on January 3, 1994, as amended by Amendment No. 1 filed on August 5, 1996 (the "Schedule 13D"), with respect to shares of Common Stock, $.0001 par value (the "Shares") of Panera Bread Company (formerly known as Au Bon Pain Co., Inc.), a Delaware corporation (the "Company"). Unless otherwise indicated, each capitalized terms used but not defined herein shall have the meaning assigned to such term in the Schedule 13D. Item 1. Security and Company. The response set forth in Item 1 of the Schedule 13D is hereby amended and supplemented by the following information: The principal executive offices of the Company are located at 7930 Big Bend Boulevard, Webster Groves, MO 63119. Item 2. Identity and Background. The response set forth in Item 1 of the Schedule 13D is hereby amended and supplemented by the following information: All references to Morgan Stanley Group Inc. and MS Group in the Schedule 13D shall hereinafter be understood as references to Morgan Stanley Dean Witter & Co. and Morgan Stanley Dean Witter, respectively. The name, business address, present principal occupation or employment, and citizenship of each director and officer of Morgan Stanley Dean Witter and PGI Inc. is set forth on the amended and restated Schedule A (the "Amended Schedule A") attached hereto. All references to Schedule A in the Schedule 13D shall hereinafter be understood as references to the Amended Schedule A. Morgan Stanley Dean Witter, through its wholly-owned broker-dealer subsidiary MS & Co., no longer makes a market in the Shares and no longer holds on behalf of customers Shares over which it exercises discretionary authority. The 150,000 Shares of which Morgan Stanley Dean Witter may be deemed to be the beneficial owner constitute the Shares obtainable upon exercise of the Warrants acquired by Princes Gate L.P., the Co-Investment Partnership and the Investors. Item 4. Purpose of Transaction. The response set forth in Item 4 of the Schedule 13D is hereby amended and supplemented by the following information: Morgan Stanley Dean Witter, through its wholly-owned broker-dealer subsidiary MS & Co., no longer makes a market in the Shares and no longer holds on behalf of customers Shares over which it exercises discretionary authority. On June 14, 1999, the Company redeemed $30,000,000 in aggregate principal amount of the Notes held by Princes Gate L.P. for a redemption price equal to the outstanding principal amount. Item 5. Interest in Securities of the Company. The response set forth in Item 1 of the Schedule 13D is hereby amended and restated in its entirety as follows: As a result of the Company's redemption at par value of $30,000,000 in aggregate principal amount of the Notes: (a) Morgan Stanley Dean Witter, for the purpose of Rule 13d-3 promulgated under the Exchange Act, beneficially owns 150,000 Shares obtainable upon exercise of the Warrants at an exercise price of $5.62 per Share, representing approximately 1.39% of the outstanding Shares (based on the sum of (1) 10,616,382 Shares reported by the Company as outstanding on November 9, 1999 in its report on Form 10-Q for the quarterly period ended October 2, 1999 and (2) 150,000 Shares issuable upon exercise of the Warrants); Page 5 of 7 PGI Inc., for the purpose of Rule 13d-3 promulgated under the Exchange Act, beneficially owns 150,000 Shares obtainable upon exercise of the Warrants at an exercise price of $5.62 per Share, representing approximately 1.39% of the outstanding Shares (calculated as described above); and Princes Gate L.P., for the purpose of Rule 13d-3 promulgated under the Exchange Act, beneficially owns 112,392 Shares obtainable upon exercise of the Warrants at an exercise price of $5.62 per Share, representing approximately 1.04% of the outstanding Shares (calculated as described above). Except as set forth in this Item 5(a), neither the Reporting Persons, nor any other person controlling the Reporting Persons, nor, to the best of their knowledge, any persons named in Schedule A hereto beneficially owns any Shares. (b) Because Morgan Stanley Dean Witter, through its wholly-owned broker-dealer subsidiary MS & Co., no longer makes a market in the Shares, Morgan Stanley Dean Witter no longer has sole power to vote and dispose of any Shares. Morgan Stanley Dean Witter has shared power to vote and to dispose of 150,000 Shares obtainable upon exercise of the Warrants as a result of its ownership of PGI Inc. PGI Inc. has sole power to vote and to dispose of 26,785 Shares held on behalf of the Investors and shared power to vote and to dispose of 123,215 Shares obtainable upon exercise of the Warrants held by Princes Gate L.P. and the Co-Investment Partnership. Princes Gate L.P., acting through its general partner PGI Inc., has shared power to vote and to dispose of 112,392 Shares obtainable upon exercise of the Warrants. (c) Inapplicable. (d) Inapplicable. (e) On June 14, 1999, the Reporting Persons each ceased to be the beneficial owners of more than 5% of the Shares. The Reporting Persons' respective reporting obligations pursuant to Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder is therefore terminated. Page 6 of 7 SIGNATURES After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: March 6, 2000 MORGAN STANLEY DEAN WITTER & CO. By: /s/ Robert Koppenol ----------------------------------- Name: Robert Koppenol Title: Principal PG INVESTORS, INC. By: /s/ David Powers ----------------------------------- Name: David Powers Title: Vice President PRINCES GATE INVESTORS, L.P. By: PG Investors, Inc., as General Partner By: /s/ David Powers ----------------------------------- Name: David Powers Title: Vice President Page 7 of 7 AMENDED SCHEDULE A Directors and Executive Officers of Morgan Stanley Dean Witter & Co. The name, business address, title, present principal occupation or employment of each of the directors and executive officers of Morgan Stanley Dean Witter & Co. ("Morgan Stanley Dean Witter") are set forth below. If no business address is given the director's or officer's business address is that of Morgan Stanley Dean Witter at 1585 Broadway, New York, NY 10036. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to Morgan Stanley Dean Witter. Unless otherwise indicated below, all of the persons listed below are citizens of the United States of America. Present Principal Occupation Including Name and Name and Business Address Address(1) of Employer - ----------------------------------------------- ----------------------------------------------------- Philip Purcell................................. Chairman and Chief Executive Officer John J. Mack................................... President and Chief Operating Officer Robert P. Bauman............................... Director Edward A. Brennan.............................. Director Daniel B. Burke................................ Director Laura D'Andrea Tyson........................... Director C. Robert Kidder............................... Director Charles F. Knight.............................. Director Miles L. Marsh................................. Director Michael A. Miles............................... Director Allen E. Murray................................ Director Clarence B. Rogers, Jr......................... Director Present Principal Occupation Including Name and Name and Business Address Address(2) of Employer - ----------------------------------------------- ----------------------------------------------------- Executive Officers (Who Are Not Directors) Richard M. DeMartini........................... International Private Client Group Kenneth M. deRegt.............................. Institutional Fixed Income James F. Higgins............................... Individual Securities Peter F. Karches............................... Institutional Securities Donald G. Kempf, Jr............................ Executive Vice President, Chief Legal Officer, General Counsel and Secretary Mitchell M. Merin.............................. Asset Management David W. Nelms................................. Discover Financial Services Stephan F. Newhouse............................ Institutional Securities Vikram S. Pandit............................... Institutional Equities Joseph R. Perella.............................. Investment Banking John H. Schaefer............................... Executive Vice President, Chief Strategic and Administrative Officer Robert G. Scott................................ Executive Vice President and Chief Financial Officer Sir David A. Walker(3)......................... Morgan Stanley International Incorporated - -------------- 1. Same address as director's or officer's business address except where indicated. 2. Same address as director's or officer's business address except where indicated. 3. Citizen of the United Kingdom.
A-1 Directors and Executive Officers of PG Investors, Inc. The name, business address, title, present principal occupation or employment of each of the directors and executive officers of PG Investors, Inc. ("PGI Inc.") are set forth below. PGI Inc. is the general partner of Princes Gate Investors, L.P. ("Princes Gate L.P."). Princes Gate L.P. has no officers and directors separate from the officers and directors of PGI Inc., its general partner. If no business address is given the director's or officer's business address is that of Morgan Stanley Dean Witter & Co. at 1585 Broadway, New York, NY 10036. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to PGI Inc.. Unless otherwise indicated below, all of the persons listed below are citizens of the United States of America. Present Principal Occupation Including Name and Name and Business Address Address(1) of Employer - ----------------------------------------------- ----------------------------------------------------- Directors Tarek F. Abdel-Meguid.......................... Director Joseph G. Fogg, III............................ Director Stephen R. Munger.............................. Director Gary W. Parr................................... Director Present Principal Occupation Including Name and Name and Business Address Address(2) of Employer - ----------------------------------------------- ----------------------------------------------------- Executive Officers (Who Are Not Directors) Gian Andrea Botta.............................. President Debra M. Aaron................................. Vice President Pietro Cinquegrana............................. Vice President Thomas A. Clayton ......................... Vice President Gavin L. MacDonald............................. Vice President Louis A. Palladino, Jr. ....................... Vice President David R. Powers................................ Vice President Bruce R. Sandberg.............................. Vice President James M. Wilmott............................... Vice President Alexander C. Frank............................. Treasurer Martin M. Cohen................................ Secretary Charlene R. Herzer............................. Assistant Secretary Susan M. Krause................................ Assistant Secretary - -------------- 1. Same address as director's or officer's business address except where indicated. 2. Same address as director's or officer's business address except where indicated.
A-2 -----END PRIVACY-ENHANCED MESSAGE-----