0001209191-14-022226.txt : 20140320
0001209191-14-022226.hdr.sgml : 20140320
20140320165653
ACCESSION NUMBER: 0001209191-14-022226
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140318
FILED AS OF DATE: 20140320
DATE AS OF CHANGE: 20140320
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ZALE CORP
CENTRAL INDEX KEY: 0000109156
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-JEWELRY STORES [5944]
IRS NUMBER: 750675400
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0731
BUSINESS ADDRESS:
STREET 1: 901 W WALNUT HILL LN
STREET 2: MS 6B-3
CITY: IRVING
STATE: TX
ZIP: 75038
BUSINESS PHONE: 9725804000
MAIL ADDRESS:
STREET 1: 901 WEST WALNUT HILL LANE
STREET 2: MAIL STOP 6B-3
CITY: IRVING
STATE: TX
ZIP: 75038-1003
FORMER COMPANY:
FORMER CONFORMED NAME: ZALE JEWELRY CO INC
DATE OF NAME CHANGE: 19710510
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGCOF CO-INVEST, L.P.
CENTRAL INDEX KEY: 0001431072
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707280
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415 983-2700
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: GGCOF CO-INVEST LP
DATE OF NAME CHANGE: 20080328
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGCOF Co-Invest Management, L.P.
CENTRAL INDEX KEY: 0001492388
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707284
BUSINESS ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGC Opportunity Fund Management, L.P.
CENTRAL INDEX KEY: 0001488545
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707285
BUSINESS ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: ONE EMBARCADERO CENTER, 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: ONE EMBARCADERO CENTER, 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Z Investment Holdings, LLC
CENTRAL INDEX KEY: 0001492455
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707287
BUSINESS ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P.
CENTRAL INDEX KEY: 0001437622
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707283
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: GOLDEN GATE CAPITAL OPPORTUNITY FUND LP
DATE OF NAME CHANGE: 20080613
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGC Opportunity Fund Management GP, Ltd.
CENTRAL INDEX KEY: 0001492387
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707286
BUSINESS ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: C/O GOLDEN GATE PRIVATE EQUITY, INC.
STREET 2: 1 EMBARCADERO CENTER
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P.
CENTRAL INDEX KEY: 0001411087
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707282
BUSINESS ADDRESS:
STREET 1: One Embarcadero Center
CITY: San Francisco
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: One Embarcadero Center
CITY: San Francisco
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Golden Gate Capital Opportunity Fund-A LP
DATE OF NAME CHANGE: 20070829
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GGCOF THIRD-PARTY CO-INVEST, L.P.
CENTRAL INDEX KEY: 0001430733
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04129
FILM NUMBER: 14707281
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-983-2700
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: GGCOF THIRD PARTY CO INVEST LP
DATE OF NAME CHANGE: 20080326
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-03-18
0
0000109156
ZALE CORP
ZLC
0001492455
Z Investment Holdings, LLC
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001492387
GGC Opportunity Fund Management GP, Ltd.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
San Franci
0
0
1
0
0001488545
GGC Opportunity Fund Management, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001492388
GGCOF Co-Invest Management, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001437622
GOLDEN GATE CAPITAL OPPORTUNITY FUND, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001411087
GOLDEN GATE CAPITAL OPPORTUNITY FUND-A, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001430733
GGCOF THIRD-PARTY CO-INVEST, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
0001431072
GGCOF CO-INVEST, L.P.
C/O GOLDEN GATE PRIVATE EQUITY, INC.
ONE EMBARCADERO CENTER, 39TH FLOOR
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
2014-03-18
4
X
0
11064584
2.00
A
11064584
D
Common Stock
2014-03-18
4
J
0
1042609
21.22
D
10022075
D
Warrants (right to buy)
2.00
2014-03-18
4
X
0
11064584
0.00
A
2010-05-10
2017-05-10
Common Stock
11064584
0
D
The common stock beneficially owned directly by Z Investment Holdings, LLC is beneficially owned indirectly by (a) Golden Gate Capital Opportunity Fund, L.P., (b) Golden Gate Capital Opportunity Fund-A, L.P., (c) GGCOF Third Party Co-Invest, L.P. and (d) GGCOF Co-Invest, L.P. The common stock indirectly held by the funds listed in clauses (a) through (c) is beneficially owned indirectly by GGC Opportunity Fund Management, L.P. ("Management GP"), their general partner, and GGC Opportunity Fund Management GP, Ltd. ("Ultimate GP"), the general partner of Management GP. The common stock indirectly held by the fund listed in clause (d) is beneficially owned indirectly by GGCOF Co-Invest Management, L.P. ("GGCOF Management"), its general partner, Management GP, the general partner of GGCOF Management and the Ultimate GP, the general partner of Management GP.
(Continued from footnote 1) The Ultimate GP has voting and dispositive authority over the common stock held by Z Investment and is governed by its board of directors.
On March 18, 2014, the reporting persons exercised warrants to purchase 11,064,584 shares of Zale Corporation common stock for $2.00 a share. Pursuant to the terms of the warrants, the reporting persons paid the exercise price on a cashless basis, resulting in Zale Corporation's withholding of 1,042,609 shares of common stock underlying the warrants. The remaining 10,022,075 shares underlying the warrants were issued to the reporting persons.
The number of shares withheld by Zale Corporation was determined pursuant to the terms of the warrants.
/s/ Robert M. Hayward, P.C. by Power of Attorney
2014-03-20