-----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, JauhqkVVmai8zEcCQ0qKtfEsjzXBtBgeY9ehMzgVc5z4Y05j5Sqy/aPIRMoS/EqJ CinlCN1gTRcPf7fz6us8Kg== 0000902664-05-002085.txt : 20051031 0000902664-05-002085.hdr.sgml : 20051031 20051028201345 ACCESSION NUMBER: 0000902664-05-002085 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20051031 DATE AS OF CHANGE: 20051028 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WHITEHALL JEWELLERS INC CENTRAL INDEX KEY: 0000868984 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-JEWELRY STORES [5944] IRS NUMBER: 361433610 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46037 FILM NUMBER: 051164687 BUSINESS ADDRESS: STREET 1: 155 N WACKER DR STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3127826800 MAIL ADDRESS: STREET 1: 155 NORTH WACKER STREET 2: SUITE 500 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: MARKS BROS JEWELERS INC DATE OF NAME CHANGE: 19960301 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Prentice Capital Management, LP CENTRAL INDEX KEY: 0001326150 IRS NUMBER: 731728931 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 900 THIRD AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 756-8040 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 p05-0980.txt WHITEHALL JEWELLERS, INC./13DA - ------------------------------------------------------------------------------- SEC POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF 1746 (11-02) INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. - ------------------------------------------------------------------------------- -------------------------------- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION -------------------------------- WASHINGTON, D.C. 20549 OMB Number: 3235-0145 -------------------------------- Expires: December 31, 2005 -------------------------------- Estimated average burden hours per response . . . . 11 -------------------------------- SCHEDULE 13D Amendment No. 1 Under the Securities Exchange Act of 1934 Whitehall Jewellers, Inc. ------------------------------- (Name of Company) Common Stock, $.001 par value ------------------------------- (Title of Class of Securities) 965063100 ------------------------------- (CUSIP Number of Class of Securities) Marc Weingarten, Esq. Schulte Roth & Zabel LLP 919 Third Avenue New York, New York 10022 (212) 756-2280 ------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 28, 2005 ------------------------------- (Date of Event which Requires Filing of this Schedule) 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 ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.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). SCHEDULE 13D - -------------------------------- ----------------------------- CUSIP NO. 965063100 PAGE 2 OF 9 PAGES - -------------------------------- ----------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Prentice Capital Management, LP I.R.S. ID: 73-1728931 - ----------- ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ----------- ------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ----------- ------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- ------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------- ---------- --------- ---------------------------------------------- 7 SOLE VOTING POWER 0 ---------- --------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES 70,115,161 shares (including 2,094,346 shares issuable upon exercise of warrants and BENEFICIALLY 68,020,815 shares upon conversion of notes and payable as shares of interest under the notes) OWNED BY (see Item 5 of Schedule 13D) --------- --------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING --------- ----------------------------------------------- 10 SHARED DISPOSITIVE POWER PERSON WITH 70,115,161 shares (including 2,094,346 shares issuable upon exercise of warrants and 68,020,815 shares upon conversion of notes and payable as shares of interest under the notes) (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 70,115,161 shares (including 2,094,346 shares issuable upon exercise of warrants and 68,020,815 shares upon conversion of notes and payable as shares of interest under the notes) (see Item 5 of Schedule 13D) - ----------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) (see Item 5) 65.25% (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - ----------- ------------------------------------------------------------------- SCHEDULE 13D - -------------------------------- ----------------------------- CUSIP NO. 965063100 PAGE 3 OF 9 PAGES - ----------- ------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PWJ Lending LLC I.R.S. ID: 02-0751960 - ----------- ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ----------- ------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ----------- ------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- ------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------- ------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 --------- ----------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 2,094,346 shares issuable upon exercise of warrants (see Item 5 of Schedule 13D) OWNED BY --------- ----------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 --------- ----------------------------------------------- REPORTING 10 SHARED DISPOSITIVE POWER PERSON WITH 2,094,346 shares issuable upon exercise of warrants (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 2,094,346 shares issuable upon exercise of warrants (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------- ------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.95% (assuming issuance of the notes and 14.99% otherwise) (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - ----------- ------------------------------------------------------------------- SCHEDULE 13D - -------------------------------- ----------------------------- CUSIP NO. 965063100 PAGE 4 OF 9 PAGES - ----------- ------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) PWJ Funding LLC I.R.S. ID: 61-149-4137 - ----------- ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ----------- ------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ----------- ------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- ------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------- ------------------- ----------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF --------- ----------------------------------------------- 8 SHARED VOTING POWER SHARES 68,020,815 shares issuable upon conversion of BENEFICIALLY notes and payable as shares of interest under the notes (see Item 5 of Schedule 13D) OWNED BY --------- ----------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 --------- ----------------------------------------------- REPORTING 10 SHARED DISPOSITIVE POWER PERSON WITH 68,020,815 shares issuable upon conversion of notes and payable as shares of interest under the notes (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 68,020,815 shares issuable upon conversion of notes and payable as shares of interest under the notes (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------- ------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 63.3% (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - ----------- ------------------------------------------------------------------- SCHEDULE 13D - -------------------------------- ----------------------------- CUSIP NO. 965063100 PAGE 5 OF 9 PAGES - ----------- ------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Michael Zimmerman - ----------- ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ----------- ------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ----------- ------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ----------- ------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - --------------------- --------- ----------------------------------------------- 7 SOLE VOTING POWER 0 --------- ----------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 70,115,161 shares (including 2,094,346 shares SHARES issuable upon exercise of warrants and 68,020,815 shares upon conversion of notes and BENEFICIALLY payable as shares of interest under the notes) (see Item 5 of Schedule 13D) OWNED BY --------- ----------------------------------------------- 9 SOLE DISPOSITIVE POWER EACH 0 --------- ----------------------------------------------- REPORTING 10 SHARED DISPOSITIVE POWER PERSON WITH 70,115,161 shares (including 2,094,346 shares issuable upon exercise of warrants and 68,020,815 shares upon conversion of notes and payable as shares of interest under the notes) (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 70,115,161 shares (including 2,094,346 shares issuable upon exercise of warrants and 68,020,815 shares upon conversion of notes and payable as shares of interest under the notes) (see Item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ----------- ------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 65.25% (See item 5 of Schedule 13D) - ----------- ------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ----------- ------------------------------------------------------------------- Pursuant to Rule 13d-2 promulgated under the Act, this Schedule 13D/A (this "AMENDMENT NO.1") amends the Schedule 13D filed on October 13, 2005 (File Number 005-46037) ("SCHEDULE 13D"). This Amendment No. 1 is being filed by Prentice Capital Management, LP ("PRENTICE CAPITAL MANAGEMENT"), PWJ Lending LLC ("PWJ LENDING"), PWJ Funding LLC ("PWJ FUNDING") and Michael Zimmerman ("MR. ZIMMERMAN" and, together with Prentice Capital Management, PWJ Lending and PWJ Funding, the "REPORTING PERSONS") relating to the Common Stock, par value $.001 per share (the "SHARES") of Whitehall Jewellers, Inc., a Delaware corporation (the "COMPANY"). The Reporting Persons are making this single, joint filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Act. The agreement among the Reporting Persons to file jointly (the "JOINT FILING AGREEMENT") is incorporated herein by reference to Exhibit A of Schedule 13D. Each Reporting Person disclaims beneficial ownership of all shares of Common Stock, other than those reported herein as being owned by it. Prentice Capital Management serves as investment manager to a number of investment funds and manages investments for certain entities in managed accounts with respect to which it has voting and dispositive authority over the Shares reported in this Amendment No. 1. PWJ Lending and PWJ Funding are entities directly controlled by Prentice Capital Management, its manager. Mr. Zimmerman is the Managing Member of (a) Prentice Management GP, LLC the general partner of Prentice Capital Management and (b) Prentice Capital GP, LLC, the general partner of certain investment funds. As such, he may be deemed to control Prentice Capital Management and certain of the investment funds and therefore may be deemed to be the beneficial owner of the securities reported in this Amendment No. 1. Each of Mr. Zimmerman and Prentice Capital Management disclaims beneficial ownership of all of the Shares reported in this Amendment No. 1. ITEM 2 IDENTITY AND BACKGROUND Item 2 is hereby amended and supplemented to add the following: Any disclosures made herein with respect to persons or entities other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party. On October 27, 2004, The Reporting Persons became aware of a proposal delivered by Newcastle Partners, L.P. ("NEWCASTLE") to the Company regarding an acquisition of the Company through a tender offer/merger that would be in lieu of the convertible note financing transaction proposed by the Reporting Persons and Holtzman Opportunity Fund, L.P. ("HOLTZMAN"). By virtue of the communication with the Company by representatives of Holtzman in response to the proposal made by Newcastle, the Reporting Persons may be deemed to be a "group" with Holtzman for purposes of the Act. Although the Reporting Persons do not affirm that such a group has been formed, this disclosure is being made to ensure compliance with the Act. The Reporting Persons expressly disclaim beneficial ownership of securities held by any person or entity other than, to the extent of any pecuniary interest therein, the various accounts under the Reporting Persons' management and control. The securities reported herein as being beneficially owned by the Reporting Persons do not include any securities held by Holtzman (including but not limited to accounts or entities under its control or under common control with Holtzman) or any other person or entity other than the various funds and accounts under the Reporting Persons' management and control. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Exhibit A Joint Filing Agreement dated October 12, 2005, (previously filed with Schedule 13D on October 13, 2005. SIGNATURES After reasonable inquiry and to the best of his knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: October 28, 2005 PRENTICE CAPITAL MANAGEMENT, LP By: /s/Michael Weiss ------------------------------------- Name: Michael Weiss Title: Chief Financial Officer PWJ FUNDING LLC By: Prentice Capital Management, LP, its Manager By: /s/Michael Weiss ------------------------------------- Name: Michael Weiss Title: Chief Financial Officer PWJ LENDING LLC By: /s/Jonathan Duskin ------------------------------------- Name: Jonathan Duskin Title: Managing Director MICHAEL ZIMMERMAN /s/Michael Zimmerman - ----------------------------------- Michael Zimmerman EXHIBIT INDEX 1. Exhibit A Joint Filing Agreement dated October 12, 2005, (previously filed with Schedule 13D on October 13, 2005). -----END PRIVACY-ENHANCED MESSAGE-----