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