-----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, NGORgrF67ug9b0Qcq54mI7F4JIJmE88pNy+zYxq8tBxEgMbYBBOSn+oIOixnlYUu rGt2kEXrnHsSX1fXualI4w== 0000769993-99-000048.txt : 19990113 0000769993-99-000048.hdr.sgml : 19990113 ACCESSION NUMBER: 0000769993-99-000048 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990112 GROUP MEMBERS: GOLDMAN SACHS GROUP LP GROUP MEMBERS: GOLDMAN, SACHS & CO. GROUP MEMBERS: THE DIVERSIFIED INVESTORS FUNDS GROUP GROUP MEMBERS: THE MANAGERS FUNDS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BENIHANA INC CENTRAL INDEX KEY: 0000935226 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 650538630 STATE OF INCORPORATION: DE FISCAL YEAR END: 0327 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48717 FILM NUMBER: 99505095 BUSINESS ADDRESS: STREET 1: 8685 NW 53RD TERRACE CITY: MIAMI STATE: FL ZIP: 33166 BUSINESS PHONE: 3055930770 MAIL ADDRESS: STREET 1: 8685 NW 53RD TERRACE CITY: MIAMI STATE: FL ZIP: 33166 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G/A 1 AMENDMENT NO. 3 TO SCHEDULE 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. 3 Benihana Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, $0.10 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 082047200 -------------------------------------------- (CUSIP Number) December 31, 1998 - ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [_] Rule 13d-1(c) [_] Rule 13d-1(d) Page 1 of 11 pages - ----------------------- CUSIP NO. 082047200 13G - ----------------------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Goldman, Sachs & Co. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY 575,100 OWNED BY ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH 739,500 - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 739,500 - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 29.4% - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON BD-PN-IA - ------------------------------------------------------------------------------ Page 2 of 11 pages - ----------------------- CUSIP NO. 082047200 13G - ----------------------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Goldman Sachs Group, L.P. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY 575,100 OWNED BY ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH 739,500 - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 739,500 - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 29.4% - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON HC-PN - ------------------------------------------------------------------------------ Page 3 of 11 pages - ----------------------- CUSIP NO. 082047200 13G - ----------------------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Managers Funds on behalf of Managers Special Equity Fund - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY 153,300 OWNED BY ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH 153,300 - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 153,300 - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IC - ------------------------------------------------------------------------------ Page 4 of 11 pages - ----------------------- CUSIP NO. 082047200 13G - ----------------------- - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Diversified Investors Funds Group on behalf of Diversified Investors Special Equity Fund - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York - ------------------------------------------------------------------------------ 5. SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY 128,700 OWNED BY ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH 128,700 - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 128,700 - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.1% - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IC - ------------------------------------------------------------------------------ Page 5 of 11 pages Item 2(a). Name of Persons Filing: Goldman, Sachs & Co., The Goldman Sachs Group, L.P., The Managers Funds on behalf of Managers Special Equity Fund and The Diversified Investors Funds Group on behalf of Diversified Investors Special Equity Fund Item 2(b). Address of Principal Business Office or, if none, Residence: for Goldman, Sachs & Co. and The Goldman Sachs Group, L.P.: 85 Broad Street, New York, NY 10004 for The Managers Funds: 40 Richards Avenue, Norwalk, CT 06854 for The Diversified Investors Funds Group: 4 Manhattanville Road, Purchase, NY 10577 Item 2(c). Citizenship: Goldman, Sachs & Co. - New York The Goldman Sachs Group, L.P. - Delaware The Managers Funds - Massachusetts The Diversified Investors Funds Group - New York Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a : (a).[X] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). Goldman, Sachs & Co. (b).[_] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c).[_] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d).[X] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). The Managers Funds on behalf of Managers Special Equity Fund and The Diversified Investors Funds Group on behalf of Diversified Investors Special Equity Fund (e).[X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); Goldman, Sachs & Co. (f).[_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g).[X] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); The Goldman Sachs Group, L.P. (h).[_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i).[_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j).[_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Page 6 of 11 pages Item 4. Ownership.* (a). Amount beneficially owned: See the response(s) to Item 9 on the attached cover page(s). (b). Percent of Class: See the response(s) to Item 11 on the attached cover page(s). (c). Number of shares as to which such person has: (i). Sole power to vote or to direct the vote: See the response(s) to Item 5 on the attached cover page(s). (ii). Shared power to vote or to direct the vote: See the response(s) to Item 6 on the attached cover page(s). (iii). Sole power to dispose or to direct the disposition of: See the response(s) to Item 7 on the attached cover page(s). (iv). Shared power to dispose or to direct the disposition of: See the response(s) to Item 8 on the attached cover page(s). Item 6. Ownership of More than Five Percent on Behalf of Another Person. Commonwealth of Pennsylvania Public School Employees' Retirement System Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. See Exhibit (99.2) Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. - -------------------------- * The Goldman Sachs Group, L.P. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs") each disclaim beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which Goldman Sachs or employees of Goldman Sachs have voting or investment discretion, or both and (ii) certain investment entities, of which a subsidiary of GS Group or Goldman Sachs is the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than GS Group, Goldman Sachs or their affiliates. Page 7 of 11 pages 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: January 10, 1999 THE GOLDMAN SACHS GROUP, L.P. By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact THE MANAGERS FUNDS on behalf of Managers Special Equity Fund By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact THE DIVERSIFIED INVESTORS FUNDS GROUP on behalf of Diversified Investors Special Equity Fund By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact Page 8 of 11 pages INDEX TO EXHIBITS Exhibit No. Exhibit - ----------- ------- 99.1 Joint Filing Agreement, dated January 10, 1999 between Goldman, Sachs & Co., The Goldman Sachs Group, L.P., The Managers Funds on behalf of Managers Special Equity Fund and The Diversified Investors Funds Group on behalf of Diversified Investors Special Equity Fund 99.2 Item 7 Information Page 9 of 11 pages EXHIBIT (99.1) JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Class A Common Stock, $0.10 par value of Benihana Inc., and further agree to the filing of this agreement as an Exhibit thereto. In addition, each party to this Agreement expressly authorizes each other party to this Agreement to file on its behalf any and all amendments to such Statement on Schedule 13G. Date: January 10, 1999 THE GOLDMAN SACHS GROUP, L.P. By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact THE MANAGERS FUNDS on behalf of Managers Special Equity Fund By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact THE DIVERSIFIED INVESTORS FUNDS GROUP on behalf of Diversified Investors Special Equity Fund By: /s/ Hans L. Reich -------------------------------------- Name: Hans L. Reich Title: Attorney-in-fact Page 10 of 11 pages EXHIBIT (99.2) ITEM 7 INFORMATION Goldman, Sachs & Co. is a broker or dealer registered under Section 15 of the Act and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940. Page 11 of 11 pages -----END PRIVACY-ENHANCED MESSAGE-----