-----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, AtBXTXlXNvkQKxJ7MHR87lk1RrypQ4jM59Mbrfbku8YrImcsZmwra+ZrUxX5O27w VEOD6J3elNoHq5h776l+xQ== 0000909334-99-000119.txt : 19991021 0000909334-99-000119.hdr.sgml : 19991021 ACCESSION NUMBER: 0000909334-99-000119 CONFORMED SUBMISSION TYPE: S-8 PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19991020 EFFECTIVENESS DATE: 19991020 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FLEMING COMPANIES INC /OK/ CENTRAL INDEX KEY: 0000352949 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] IRS NUMBER: 480222760 STATE OF INCORPORATION: OK FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: S-8 SEC ACT: SEC FILE NUMBER: 333-89375 FILM NUMBER: 99731170 BUSINESS ADDRESS: STREET 1: 6301 WATERFORD BLVD STREET 2: P O BOX 26647 CITY: OKLAHOMA CITY STATE: OK ZIP: 73126 BUSINESS PHONE: 4058407200 MAIL ADDRESS: STREET 1: P O BOX 26647 CITY: OKLAHOMA CITY STATE: OK ZIP: 73216-0647 S-8 1 As filed with the Securities and Registration No. _____ Exchange Commission on October 20, 1999 FORM S-8 Registration Statement under the Securities Act of 1933 FLEMING COMPANIES, INC. (Exact name of registrant as specified in its charter) Oklahoma 48-0222760 (State or other jurisdiction (I.R.S. Employer Identification No.) of incorporation or organization) 6301 Waterford Boulevard P. O. Box 26647 Oklahoma City, Oklahoma 73126-0647 (Address of Principal Executive Office) FLEMING COMPANIES, INC. CONSOLIDATED SAVINGS PLUS AND STOCK OWNERSHIP PLAN (Full title of the plan) David R. Almond Senior Vice President, General Counsel and Secretary Fleming Companies, Inc. 6301 Waterford Boulevard P. O. Box 26647 Oklahoma City, Oklahoma 73126-0647 (405) 840-7200 (Name, address and telephone number of agent for service) Calculation of Registration Fee - --------------------------------------------------------------------------------
Title of Proposed Securities Proposed maximum Amount of to be Amount to be maximum offering aggregate registration registered registered price per unit offering price fee - -------------------------------------------------------------------------------- Common Stock ($2.50 par value) 300,000 shares $9.375 $2,812,500 $781.88 - ------------------ FN In addition, pursuant to Rule 416(c) under the Securities Act of 1933, this Registration Statement also covers an indeterminate amount of interests to be offered or sold pursuant to the Fleming Companies, Inc. Consolidated Savings Plus and Stock Ownership Plan. Estimated solely for the purpose of calculating the amount of the registration fee in accordance with Rule 457(c) and (h), based upon the average of the high and low prices of Fleming Companies, Inc. common stock as reported on the New York Stock Exchange on October 15, 1999.
PART I INFORMATION REQUIRED IN THE SECTION 10(A) PROSPECTUS Item 1. Plan Information. (1) Item 2. Registrant Information and Employee Annual Information. (1) (1) Information required by Part I to be contained in the Section 10(a) prospectus is omitted from this Registration statement in accordance with the Note to Part I of Form S-8 and has been or will be sent or given to participants in the Plan as specified in Rule 428(b)(1). PART II INFORMATION REQUIRED IN REGISTRATION STATEMENT Item 3. Incorporation of Documents by Reference. The following documents filed with the Securities and Exchange Commission (the "Commission") are incorporated herein by reference: (a) The registrant's Annual Report on Form 10-K for the fiscal year ended December 26, 1998. (b) The registrant's Quarterly Reports on Form 10-Q for the periods ended April 17, 1999 and July 10, 1999. (c) The registrant's current reports on Form 8-K dated April 16, 1999 and April 23, 1999 and October 1, 1999. (d) The description of the registrant's Common Stock contained in the registrant's Registration Statement on Form 8-A, as amended (File No. 1-8140), filed pursuant to Section 12 of the Exchange Act of 1934 (the "Exchange Act"). In addition, all documents filed by the registrant or the Consolidated Savings Plus and Stock Ownership Plan pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act after the date hereof and prior to the filing of a post-effective amendment which indicates that all of the securities offered hereby have been sold or which de-registers all such securities then remaining unsold, shall be deemed to be incorporated herein by reference and to be a part hereof from the date of filing of such documents. Item 4. Description of Securities. Not applicable. Item 5. Interests of Named Experts and Counsel. Not applicable. Item 6. Indemnification of Directors and Officers. Section 1031 of the Oklahoma General Corporation Act, under which act the registrant is incorporated, authorizes the indemnification of officers and directors in certain circumstances. Article Thirteenth of the registrant's Restated Certificate of Incorporation, as well as Article 8 of the registrant's Bylaws, provide indemnification of directors, officers and agents to the extent permitted by Oklahoma General Corporation Act. These provisions may be sufficiently broad to indemnify such persons for liabilities under the Securities Act of 1933. In addition, Article Thirteenth of the registrant's Restated Certificate of Incorporation permits the exculpation of a director for monetary damages for breach of fiduciary duty as a director. In addition, the registrant maintains insurance policies which insure its officers and directors against certain liabilities. Item 7. Exemption from Registration Claimed. Not applicable. Item 8. Exhibits. 4.1 Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the registrant's Quarterly Report on Form 10-Q for quarter ended April 17, 1999). 4.2 Bylaws (incorporated by reference to Exhibit 3.2 registrant's Quarterly Report on to Form 10-Q for quarter ended April 17, 1999). 5.1 Determination Letter from the Internal Revenue Service with respect to qualification of the Consolidated Savings Plus and Stock Ownership Plan under Section 401(k) of the Internal Revenue Code. 23.1 Consent of Deloitte & Touche LLP 24.1 Power of Attorney Item 9. Undertakings. The undersigned registrant hereby undertakes: 1. To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement: (i) To include any prospectus required by section 10(a)(3) of the Securities Act of 1933; (ii) To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20% change in the maximum aggregate offering price set forth in the "Calculation of Registration Fee" table in the effective registration statement; (iii) To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement; Provided, however, that paragraphs (1)(i) and (1)(ii) do not apply if the registration statement is on Form S-3 and the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the Commission by the registrant pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in the registration statement. 2. That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. 3. To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act of 1933, each filing of the registrant's annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 (and, where applicable, each filing of an employee benefit plan's annual report pursuant to section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefor, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue. SIGNATURES Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Oklahoma City, State of Oklahoma, on the 20th day of October, 1999. FLEMING COMPANIES, INC. (Registrant) By MARK S. HANSEN Mark S. Hansen Chairman and Chief Executive Officer Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the date indicated.
Signature Title Date - --------- ----- ---- MARK S. HANSEN Chairman, Chief ) Mark S. Hansen Executive Officer and ) Director ) ) JOHN T. STANDLEY Executive Vice President ) John T. Standley and Chief Financial ) Officer ) ) KEVIN J. TWOMEY Senior Vice President ) Kevin J. Twomey and Controller (Principal ) October 20, 1999 Accounting Officer) ) ) ARCHIE R. DYKES Director ) Archie R. Dykes ) ) CAROL B. HALLETT Director ) Carol B. Hallett ) ) HERBERT M. BAUM Director ) Herbert M. Baum ) ) EDWARD C. JOULLIAN III Director ) Edward C. Joullian III ) ) JACK W. BAKER Director ) Jack W. Baker ) ) ALICE M. PETERSON Director ) October 20, 1999 Alice M. Peterson ) ) GUY A. OSBORN Director ) Guy A. Osborn ) ) DAVID A. RISMILLER Director ) David A. Rismiller )
Pursuant to the requirements of the Securities Act of 1933, the trustees (or other persons who administer the employee benefit plan) have caused this registration statement to be signed on its behalf, thereunto duly authorized in the City of Oklahoma City, State of Oklahoma, on October 20, 1999. FLEMING COMPANIES, INC. CONSOLIDATED SAVINGS PLUS AND STOCK OWNERSHIP PLAN By DAVID R. ALMOND David R. Almond, member of Fleming Companies, Inc. Retirement Committee, the Plan Administrator INDEX TO EXHIBITS
Exhibit No. Description Method of Filing - ------- ----------- ---------------- 4.1 Restated Certificate of Incorporation Incorporated herein by reference 4.2 Bylaws Incorporated herein by reference 5.1 Determination Letter from the Filed herewith electronically Internal Revenue Service with respect to qualification of the Consolidated Savings Plus and Stock Ownership Plan under Section 401(k) of the Internal Revenue Code. 23.1 Consent of Deloitte & Touche LLP Filed herewith electronically 24.1 Power of Attorney Filed herewith electronically
EX-5 2 Exhibit 5.1 INTERAL REVENUE SERVICE DEPARTMENT OF THE TREASURY DISTRICT DIRECTOR 1100 COMMERCE STREET DALLAS, TX 75241 Employer Identification Number: Date: Dec. 11, 1995 48-0222760 File Folder Number: FLEMING COMPANIES INC 730000154 C/O JAMES DUDLEY HYDE ESQ. Person to Contact: MCAFEE & TAFT A PROF. CORP. JILL RUTHERFORD 10TH FL TWO LEADERSHIP SQUARE Contact Telephone Number: OKLAHOMA CITY, OK 73102 (214)767-6023 Plan Name: CONSOLIDATED SAVINGS PLUS & STOCK OWNERSHIP PLAN & ITS SUBSIDIARIES Plan Number: 005 Dear Applicant: We have made a favorable determination on your plan, identified above, based on the information supplied. Please keep this letter in your permanent records. Continued qualification of the plan under its present form will depend on its effect in operation. (See section 1.401-1(b)(3) of the Income Tax Regulations.) We will review the status of the plan in operation periodically. The enclosed document explains the significance of this favorable determination letter, points out some features that may affect the qualified status of your employee retirement plan, and provides information on the reporting requirements for your plan. It also describes some events that automatically nullify it. It is very important that you read the publication. This letter relates only to the status of your plan under the Internal Revenue Code. It is not a determination regarding the effect of other federal or local statutes. This determination is subject to your adoption of the proposed amendments submitted in your letter dated October 4, 1995. The proposed amendments should be adopted on or before the date prescribed by the regulations under Code section 401(b). This determination letter is applicable for the amendment(s) adopted on December 14, 1994. This plan satisfies the requirements of Code section 4975(e)(7). This plan has been mandatorily disaggregated, permissively aggregated, or restructured to satisfy the nondiscrimination requirements. This plan satisfies the nondiscrimination in amount requirement of section 1.401(a)(4)-1(b)(2) of the regulations on the basis of a design-based safe harbor described in the regulations. This letter is issued under Rev. Proc. 93-39 and considers the amendments required by the Tax Reform Act of 1986 except as otherwise specified in this letter. Letter 835 (DO/CG) -2- FLEMING COMPANIES INC This plan satisfies the nondiscriminatory current availability requirements of section 1.401(a)(4)-4(b) of the regulations with respect to those benefits, rights, and features that are currently available to all employees in the plan's coverage group. For this purpose, the plan's coverage group consists of those employees treated as currently benefiting for purposes of demonstrating that the plan satisfies the minimum coverage requirements of section 410(b) of the Code. This letter may not be relied upon with respect to whether the plan satisfies the qualification requirements as amended by the Uruguay Round Agreements Act, Pub. L. 103-465. The information on the enclosed addendum is an integral part of this determination. Please be sure to read and keep it with this letter. We have sent a copy of this letter to your representative as indicated in the power of attorney. If you have questions concerning this matter, please contact the person whose name and telephone number are shown above. Sincerely yours, BOBBY E. SCOTT Bobby E. Scott District Director Enclosures: Publication 794 Addendum Letter 835 (DO/CG) -3- FLEMING COMPANIES INC This letter of determination also applies to the members of the controlled group who have adopted the plan as detailed in your application. Based on the information provided in your letter dated December 28, 1994, and the language contained in section 10.2 of the plan, we have determined that the distributions to the separated participants previously employed by the "Royal Food Distributors New Jersey Division" meet the exception under section 401(k)(10)(A)(ii) of the Internal Revenue Code (relating to the sale of assets by a corporation of substantially all the assets involved in a trade or business. This is not a ruling under the "same desk rule" under section 402 of the Code, and Rev. Ruling 80-129. Letter 835 (DO/CG) EX-23 3 Exhibit 23.1 INDEPENDENT AUDITORS' CONSENT We consent to the incorporation by reference in this Registration Statement of Fleming Companies, Inc. on Form S-8 of our report dated February 18, 1999 appearing in the Annual Report on Form 10-K of Fleming Companies, Inc. and subsidiaries for the year ended December 26, 1998. DELOITTE & TOUCHE LLP Oklahoma City, Oklahoma October 19, 1999 EX-24 4 Exhibit 24.1 POWER OF ATTORNEY We, the undersigned officers and directors of Fleming Companies, Inc. (hereinafter the "Company"), hereby severally constitute Mark S. Hansen and David R. Almond, and each of them, severally, our true and lawful attorneys- in-fact with full power to them and each of them to sign for us, and in our names as officers or directors, or both, of the Company, a Registration Statement (and any and all amendments thereto, including post-effective amendments) on Form S-8 to be filed with the Securities and Exchange Commission relating to the Fleming Companies, Inc. Consolidated Savings Plus and Stock Ownership Plan granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and to perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, may lawfully do or cause to be done by virtue hereof.
Signature Title Date - --------- ----- ---- MARK S. HANSEN Chairman, Chief ) Mark S. Hansen Executive Officer and ) Director ) ) JOHN T. STANDLEY Executive Vice President ) John T. Standley and Chief Financial ) Officer ) ) KEVIN J. TWOMEY Senior Vice President ) Kevin J. Twomey and Controller (Principal ) Accounting Officer) ) ) ARCHIE R. DYKES Director ) October 20, 1999 Archie R. Dykes ) ) CAROL B. HALLETT Director ) Carol B. Hallett ) ) HERBERT M. BAUM Director ) Herbert M. Baum ) ) EDWARD C. JOULLIAN III Director ) Edward C. Joullian III ) ) JACK W. BAKER Director ) Jack W. Baker ) ) ALICE M. PETERSON Director ) October 20, 1999 Alice M. Peterson ) ) GUY A. OSBORN Director ) Guy A. Osborn ) ) DAVID A. RISMILLER Director ) David A. Rismiller )
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