-----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, UAs2CJc9q+sz29ulxeBlUjSVyfp5DNGPisvutIp11ySEgVXXc5Ud6hhchWgWVzZD 0SQ7YkxO1777TWyj41IjTQ== 0001209191-09-040396.txt : 20090812 0001209191-09-040396.hdr.sgml : 20090812 20090812210036 ACCESSION NUMBER: 0001209191-09-040396 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090804 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BURKLE RONALD W CENTRAL INDEX KEY: 0001015899 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008285 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GREAT ATLANTIC & PACIFIC TEA CO INC CENTRAL INDEX KEY: 0000043300 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 131890974 STATE OF INCORPORATION: MD FISCAL YEAR END: 0228 BUSINESS ADDRESS: STREET 1: 2 PARAGON DR CITY: MONTVALE STATE: NJ ZIP: 07645 BUSINESS PHONE: 2015739700 MAIL ADDRESS: STREET 1: 2 PARAGON DRIVE CITY: MONTVALE STATE: NJ ZIP: 07645 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yucaipa Corporate Initiatives Fund I, LP CENTRAL INDEX KEY: 0001330610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008284 BUSINESS ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 BUSINESS PHONE: 310-789-7200 MAIL ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yucaipa American Alliance Fund I, LP CENTRAL INDEX KEY: 0001330612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008283 BUSINESS ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 BUSINESS PHONE: 310-789-7200 MAIL ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YUCAIPA AMERICAN ALLIANCE (PARALLEL) FUND I, LP CENTRAL INDEX KEY: 0001330614 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008282 BUSINESS ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 BUSINESS PHONE: 310-789-7200 MAIL ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YUCAIPA AMERICAN ALLIANCE FUND II LP CENTRAL INDEX KEY: 0001431428 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008281 BUSINESS ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 BUSINESS PHONE: 310 789-7200 MAIL ADDRESS: STREET 1: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yucaipa American Alliance (Parallel) Fund II, L.P. CENTRAL INDEX KEY: 0001452578 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04141 FILM NUMBER: 091008280 BUSINESS ADDRESS: STREET 1: C/O THE YUCAIPA COMPANIES LLC STREET 2: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 BUSINESS PHONE: (310) 789-7200 MAIL ADDRESS: STREET 1: C/O THE YUCAIPA COMPANIES LLC STREET 2: 9130 WEST SUNSET BOULEVARD CITY: LOS ANGELES STATE: CA ZIP: 90069 3 1 c89215_3x1.xml MAIN DOCUMENT DESCRIPTION X0203 3 2009-08-04 0 0000043300 GREAT ATLANTIC & PACIFIC TEA CO INC GAP 0001015899 BURKLE RONALD W C/O THE YUCAIPA COMPANIES LLC 9130 W. SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 0001330610 Yucaipa Corporate Initiatives Fund I, LP C/O THE YUCAIPA COMPANIES LLC 9130 WEST SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 0001330612 Yucaipa American Alliance Fund I, LP C/O THE YUCAIPA COMPANIES LLC 9130 WEST SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 0001330614 YUCAIPA AMERICAN ALLIANCE (PARALLEL) FUND I, LP C/O THE YUCAIPA COMPANIES LLC 9130 WEST SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 0001431428 YUCAIPA AMERICAN ALLIANCE FUND II LP C/O THE YUCAIPA COMPANIES LLC 9130 WEST SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 0001452578 Yucaipa American Alliance (Parallel) Fund II, L.P. C/O THE YUCAIPA COMPANIES LLC 9130 WEST SUNSET BOULEVARD LOS ANGELES CA 90069 0 0 1 0 Common Stock 2592610 I See Footnotes 8% Cumulative Convertible Preferred Stock, Series A-Y 5.00 2010-08-05 2016-08-01 Common Stock 23000000 I See Footnotes Series B Warrants 32.40 2007-12-03 2015-06-09 Common Stock 6965858.19 I See Footnotes Includes (i) 892,372 shares of the Issuer's common stock, par value $1 per share (the "Common Stock"), beneficially owned directly by Yucaipa Corporate Initiatives Fund I, LP ("YCI"), (ii) 850,125 shares of Common Stock beneficially owned directly by Yucaipa American Alliance Fund I, LP ("YAAF"), and (iii) 850,113 shares of Common Stock beneficially owned directly by Yucaipa American Alliance (Parallel) Fund I, LP ("YAAF Parallel"). Includes 69,327 shares of 8% Cumulative Convertible Preferred Stock, Series A-Y, no par value per share (the "Series A-Y Preferred Stock"), beneficially owned directly by Yucaipa American Alliance Fund II, LP ("YAAF II") and 45,673 shares of A-Y Preferred Stock beneficially owned directly by Yucaipa American Alliance (Parallel) Fund II, LP ("YAAF II Parallel"). As set forth in the Articles Supplementary filed by the Issuer with respect to the Series A-Y Preferred Stock, holders of Series A-Y Preferred Stock are entitled, among other things, to an 8.0% annual dividend, payable quarterly in arrears in cash or in additional shares of Series A-Y Preferred Stock if the Issuer is not able to pay the dividends in cash in full (in which case the dividend rate will be 9.5% per annum with respect to such dividend period). The Series A-Y Preferred Stock is convertible into Common Stock after the one year anniversary of its issuance (provided that until such time as the requisite approval by the Issuer's stockholders has been obtained, the aggregate number of shares of Common Stock into which the Series A-Y Preferred Stock may be converted will be subject to any limitations imposed by any stockholder approval requirements of the New York Stock Exchange). The Series B warrants to purchase shares of Common Stock (the "Series B Warrants") are exercisable solely on a cashless basis, and the Issuer, in its sole discretion, is entitled to settle all or any portion of the Series B Warrants in cash. Includes (i) Series B Warrants to acquire 2,397,648.39 shares of Common Stock beneficially owned directly by YCI, (ii) Series B Warrants to acquire 2,284,104.90 shares of Common Stock beneficially owned directly by YAAF, and (iii) Series B Warrants to acquire 2,284,104.90 shares of Common Stock beneficially owned directly by YAAF Parallel. All of the foregoing securities owned directly by YCI may be deemed to be beneficially owned indirectly by (i) Yucaipa Corporate Initiatives Fund I, LLC ("YCI LLC"), as the general partner of YCI, and (ii) Ronald W. Burkle as the managing member of YCI. All of the foregoing securities owned directly by YAAF and YAAF Parallel may be deemed to be beneficially owned indirectly by (i) Yucaipa American Alliance Fund I, LLC ("YAAF LLC"), as their general partner, (ii) Yucaipa American Funds, LLC ("YAF"), as the managing member of YAAF LLC, (iii) Yucaipa American Management, LLC ("YAM"), as the managing member of YAF, and (iv) Ronald W. Burkle, as managing member of YAM. All of the foregoing securities owned directly by YAAF II and YAAF II Parallel (including any shares of Common Stock underlying the shares of Series A-Y Preferred Stock) may be deemed to be beneficially owned indirectly by (i) Yucaipa American Alliance Fund II, LLC ("YAAF II LLC"), as their general partner, (ii) YAF, as the managing member of YAAF II LLC, (iii) YAM, as the managing member of YAF and (iv) Ronald W. Burkle, as managing member of YAM. Each of YCI, YAAF, YAAF Parallel, YAAF II and YAAF II Parallel (collectively, the "Funds") disclaims beneficial ownership of the securities directly owned by the other Funds (including any shares of Common Stock underlying the shares of Series A-Y Preferred Stock or the Series B Warrants), and this report shall not be deemed an admission by any Fund that it is the beneficial owners of any such securities for purposes of Section 16 or for any other purpose. Each of YCI LLC, YAAF LLC, YAAF II LLC, YAF, YAM and Mr. Burkle disclaims beneficial ownership of the securities directly owned by the Funds (including any shares of Common Stock underlying the shares of Series A-Y Preferred Stock or the Series B Warrants), except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission by any of YCI LLC, YAAF LLC, YAAF II LLC, YAF, YAM or Mr. Burkle that he or it is the beneficial owners of any such securities for purposes of Section 16 or for any other purpose. /s/ Ronald W. Burkle 2009-08-12 /s/ Robert P. Bermingham 2009-08-12 EX-99.1 2 c89215_99x1.htm ADDITIONAL EXHIBITS Exhibit 99.1
FORM 3 JOINT FILER INFORMATION
         
Name:
  Yucaipa Corporate Initiatives Fund I, LP    
 
        
Address:
  c/o The Yucaipa Companies LLC    
 
  9130 West Sunset Boulevard,    
 
  Los Angeles, California 90069    
 
        
Designated Filer:
  Ronald W. Burkle    
 
        
Issuer:
  The Great Atlantic & Pacific Tea Company, Inc.    
 
        
Date of Event Requiring Statement:
  08/04/2009    
 
        
Signature
  /s/ Robert P. Bermingham    
 
       
 
  Robert P. Bermingham, Vice President    

Page 1 of 5

FORM 3 JOINT FILER INFORMATION
         
Name:
  Yucaipa American Alliance Fund I, LP    
 
        
Address:
  c/o The Yucaipa Companies LLC    
 
  9130 West Sunset Boulevard,    
 
  Los Angeles, California 90069    
 
        
Designated Filer:
  Ronald W. Burkle    
 
        
Issuer:
  The Great Atlantic & Pacific Tea Company, Inc.    
 
        
Date of Event Requiring Statement:
  08/04/2009    
 
        
Signature
  /s/ Robert P. Bermingham    
 
       
 
  Robert P. Bermingham, Vice President    

Page 2 of 5

FORM 3 JOINT FILER INFORMATION
         
Name:
  Yucaipa American Alliance (Parallel) Fund I, LP    
 
        
Address:
  c/o The Yucaipa Companies LLC    
 
  9130 West Sunset Boulevard,    
 
  Los Angeles, California 90069    
 
        
Designated Filer:
  Ronald W. Burkle    
 
        
Issuer:
  The Great Atlantic & Pacific Tea Company, Inc.    
 
        
Date of Event Requiring Statement:
  08/04/2009    
 
        
Signature
  /s/ Robert P. Bermingham    
 
       
 
  Robert P. Bermingham, Vice President    

Page 3 of 5

FORM 3 JOINT FILER INFORMATION
         
Name:
  Yucaipa American Alliance Fund II, LP    
 
        
Address:
  c/o The Yucaipa Companies LLC    
 
  9130 West Sunset Boulevard,    
 
  Los Angeles, California 90069    
 
        
Designated Filer:
  Ronald W. Burkle    
 
        
Issuer:
  The Great Atlantic & Pacific Tea Company, Inc.    
 
        
Date of Event Requiring Statement:
  08/04/2009    
 
        
Signature
  /s/ Robert P. Bermingham    
 
       
 
  Robert P. Bermingham, Vice President    

Page 4 of 5

FORM 3 JOINT FILER INFORMATION
         
Name:
  Yucaipa American Alliance (Parallel) Fund II, LP    
 
        
Address:
  c/o The Yucaipa Companies LLC    
 
  9130 West Sunset Boulevard,    
 
  Los Angeles, California 90069    
 
        
Designated Filer:
  Ronald W. Burkle    
 
        
Issuer:
  The Great Atlantic & Pacific Tea Company, Inc.    
 
        
Date of Event Requiring Statement:
  08/04/2009    
 
        
Signature
  /s/ Robert P. Bermingham    
 
       
 
  Robert P. Bermingham, Vice President    

Page 5 of 5

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