-----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, IVzINbUcAODIUNjCP2yeBu8Wu7KoTQ5RdJrt+n5vzqZbeLx6I8E9EntXr7V+Ecz7 7yCUBLyNCKjmZN3a66z36g== 0000950137-02-006079.txt : 20021112 0000950137-02-006079.hdr.sgml : 20021111 20021112080943 ACCESSION NUMBER: 0000950137-02-006079 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021112 GROUP MEMBERS: BROOKWOOD NEW WORLD CO., LLC FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BROOKWOOD NEW WORLD INVESTORS LLC CENTRAL INDEX KEY: 0001122574 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 55 TOWER ROAD CITY: BEVERLY STATE: MA ZIP: 01915 BUSINESS PHONE: 9789278300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEW WORLD RESTAURANT GROUP INC CENTRAL INDEX KEY: 0000949373 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 133690261 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50342 FILM NUMBER: 02815076 BUSINESS ADDRESS: STREET 1: 246 INDUSTRIAL WAY WEST STREET 2: C/O NEW WORLD HOLDINGS CITY: EATONTOWN STATE: NJ ZIP: 07724 BUSINESS PHONE: 7325440155 MAIL ADDRESS: STREET 1: 246 INDUSTRIAL WAY WEST STREET 2: C/O NEW WORLD HOLDINGS CITY: EATONTOWN STATE: NJ ZIP: 07724 FORMER COMPANY: FORMER CONFORMED NAME: NEW WORLD COFFEE INC DATE OF NAME CHANGE: 19950815 FORMER COMPANY: FORMER CONFORMED NAME: NEW WORLD COFFEE & BAGELS INC / DATE OF NAME CHANGE: 19981007 FORMER COMPANY: FORMER CONFORMED NAME: NEW WORLD COFFEE MANHATTAN BAGEL INC DATE OF NAME CHANGE: 19990413 SC 13D/A 1 c72944a2sc13dza.txt AMENDMENT TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D-A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2) NEW WORLD RESTAURANT GROUP, INC. f/k/a NEW WORLD COFFEE - MANHATTAN BAGEL, INC., f/k/a NEW WORLD COFFEE & BAGELS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 648904200 - -------------------------------------------------------------------------------- (CUSIP Number) Thomas N. Trkla Brookwood New World Investors, LLC 55 Tozer Road Beverly, Massachusetts 01915 Telephone no. (978) 927 - 8300 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 7, 2002 - -------------------------------------------------------------------------------- (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 schedule because of Rule 13d-1(b)(3) or (4), check the following box: [ ] *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: 648904200 - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Brookwood New World Investors, LLC FEIN: 04-3525760 - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ------------ --------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------ --------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------ --------- --------------------------------------------------------------------------- NUMBER OF SHARES 7 SOLE VOTING POWER -0- --------- --------------------------------------------------------------------------- BENEFICIALLY OWNED BY 8 SHARED VOTING POWER 4,995,825(1) --------- --------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER -0- --------- --------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER 4,995,825(1) - ------------------------------ --------- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,995,825(1) - --------------- ------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------- ------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.6%(2) - --------------- ------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - --------------- -------------------------------------------------------------------------------------------------------
- ------------------- 1. Includes warrants to purchase 500 shares of common stock held by Brookwood New World Investors, LLC. 2 Includes 53,600,860 shares of common stock issuable upon exercise of warrants to purchase common stock of the issuer held by the following persons, who are not affiliates of the Reporting Person: BET Associates, L.P., Halpern Denny III, L.P., Greenlight Capital, L.P., Greenlight Capital Qualified, L.P., Greenlight Capital Offshore, Ltd., Special Situations Private Equity Fund, L.P., Special Situations Cayman Fund, L.P. and Special Situations Fund III, L.P. Some or all of these warrants may have been previously exercised by their holders. 2 CUSIP No.: 648904200 - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Brookwood New World Co., LLC FEIN: 04-3525759 - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ------------ --------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ------------ --------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------ --------- --------------------------------------------------------------------------- NUMBER OF SHARES 7 SOLE VOTING POWER -0- --------- --------------------------------------------------------------------------- BENEFICIALLY OWNED BY 8 SHARED VOTING POWER 4,995,825(1) --------- --------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER -0- --------- --------------------------------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER 4,995,825(1) - ------------------------------ --------- --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,995,825(1) - --------------- ------------------------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------- ------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.6%(2) - --------------- ------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - --------------- -------------------------------------------------------------------------------------------------------
- ------------------- 1. Includes warrants to purchase 500 shares of common stock held by Brookwood New World Investors, LLC. 2 Includes 53,600,860 shares of common stock issuable upon exercise of warrants to purchase common stock of the issuer held by the following persons, who are not affiliates of the Reporting Person: BET Associates, L.P., Halpern Denny III, L.P., Greenlight Capital, L.P., Greenlight Capital Qualified, L.P., Greenlight Capital Offshore, Ltd., Special Situations Private Equity Fund, L.P., Special Situations Cayman Fund, L.P. and Special Situations Fund III, L.P. Some or all of these warrants may have been previously exercised by their holders. 3 This Amendment No. 2 (the "Amendment") amends Schedule 13D which was originally filed on August 18, 2000, as previously amended by that certain Amendment No. 1 to Schedule 13D filed on January 31, 2001, relating to the common stock (the "Common Stock") of New World Restaurant Group, Inc., f/k/a New World Coffee - Manhattan Bagel, Inc., f/k/a New World Coffee & Bagels, Inc., a Delaware corporation ("New World"). The principal executive offices of New World are located at 246 Industrial Way West, Eatontown, New Jersey 07724. The Schedule 13D is amended to increase the number of shares of common stock issuable to Brookwood New World Investors, LLC (the "Company"), as a result of the effect of anti-dilution and step up features of the warrant issued to the Company as of January 22, 2001, which increase was effective as of November 7, 2002. On November 7, 2002, the Company exercised all but 500 of its warrants in a cashless exercise. As a result, the Company currently owns 4,995,325 shares of common stock of New World and warrants to purchase 500 shares of common stock of New World. The Company will continue to be entitled to receive step-up warrants and anti-dilution warrants as previously disclosed. As of the date hereof, each of the Company and the Company's sole manager, Brookwood New World Co., LLC (the "Manager") are the beneficial owner of an aggregate of 4,995,825 shares of common stock of New World, including warrants to purchase 500 shares of common stock of New World, which constitutes approximately 6.6% of the 76,078,079 shares of common stock outstanding as of June 24, 2002 after giving effect to the issuance of the shares under warrants to purchase common stock of New World held by the following persons, who are not affiliates of the Reporting Persons: BET Associates, L.P., Halpern Denny III, L.P., Greenlight Capital, L.P., Greenlight Capital Qualified, L.P., Greenlight Capital Offshore, Ltd., Special Situations Private Equity Fund, L.P., Special Situations Cayman Fund, L.P. and Special Situations Fund III, L.P. Some or all of these warrants may have been previously exercised by their holders. 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. Dated: November 11, 2002 BROOKWOOD NEW WORLD INVESTORS, LLC, a Delaware limited liability company By: Brookwood New World Co., LLC By: /s/ Thomas N. Trkla ----------------------------- Name: Thomas N. Trkla Title: Manager BROOKWOOD NEW WORLD CO., LLC By: /s/ Thomas N. Trkla ----------------------------- Name: Thomas N. Trkla Title: Manager 5 -----END PRIVACY-ENHANCED MESSAGE-----