-----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, QlgYIA1uiUF5uO/AUsH5IABUbor10GQ05XttM+pSmDi7oBZlz16mIOoqCEs3KZV4 0Ep+xtU2I1kB3pdIeqxNCA== 0000950142-04-001263.txt : 20040419 0000950142-04-001263.hdr.sgml : 20040419 20040419150409 ACCESSION NUMBER: 0000950142-04-001263 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040419 GROUP MEMBERS: HAL HOLDING N.V. GROUP MEMBERS: HAL INTERNATIONAL N.V. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLE NATIONAL CORP /DE/ CENTRAL INDEX KEY: 0000769644 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 341453189 STATE OF INCORPORATION: DE FISCAL YEAR END: 0130 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43741 FILM NUMBER: 04740320 BUSINESS ADDRESS: STREET 1: 1925 ENTERPRISE PARKWAY STREET 2: N/A CITY: TWINSBURG STATE: OH ZIP: 44087 BUSINESS PHONE: 3304863100 MAIL ADDRESS: STREET 1: 1925 ENTERPISE PARKWAY STREET 2: N/A CITY: TWINSBURG STATE: OH ZIP: 44087 FORMER COMPANY: FORMER CONFORMED NAME: CNC HOLDING CORP/DE DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAL INTERNATIONAL N V CENTRAL INDEX KEY: 0001074984 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O HAL HOLDINGS N V STREET 2: 5 AVENUE DES CITRONNIERS MC CITY: 98000 MONACO BUSINESS PHONE: 37792167579 MAIL ADDRESS: STREET 1: C/O HAL HOLDINGS N V STREET 2: 5 AVENUE DES CITRONNIERS MC CITY: 98000 MONACO SC 13D/A 1 sc13da1-cole.txt AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Cole National Corporation (Name of Issuer) Common Stock, Par Value $.001 Per Share (Title of Class of Securities) 193290103 (CUSIP Number) Mark S. Bergman Paul, Weiss, Rifkind, Wharton & Garrison LLP Alder Castle, 10 Noble Street London EC2V 7JU United Kingdom +44 (0) 20 7367 1600 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 15, 2004 (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(e) or 13d-1(f) or 13d-1(g), 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). SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 193290103 Page 2 of 6 pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HAL Holding N.V. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands Antilles - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER - 0 - SHARES -------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICALLY OWNED BY 3,196,100 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER - 0 - --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,196,100 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,196,100 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.1% (1) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON HC - -------------------------------------------------------------------------------- - -------------------- (1) Based on 16,716,868 shares of common stock outstanding as of March 31, 2004 as reported in the issuer's Form 10-K for the year-ended January 31, 2004. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 193290103 Page 3 of 6 pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HAL International N.V. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands Antilles - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER - 0 - SHARES -------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICALLY OWNED BY 3,196,100 EACH REPORTING -------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER - 0 - --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,196,100 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,196,100 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.1% (2) - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- - -------------------- (2) Based on 16,716,868 shares of common stock outstanding as of March 31, 2004 as reported in the issuer's Form 10-K for the year-ended January 31, 2004. - -------------------------------------------------------------------------------- CUSIP No. 193290103 Page 4 of 6 pages - -------------------------------------------------------------------------------- Amendment No. 1 to Schedule 13D This is Amendment No. 1 to the Schedule 13D filed by HAL Holding N.V. and HAL International N.V. with respect to the common stock, par value $.001 per share (the "Common Stock"), of Cole National Corporation (the "Issuer"), which was originally filed on June 15, 2001. This Amendment No. 1 amends Items 2, 4 and 6 of the Reporting Persons' Schedule 13D. Item 2. Identity and Background Item 2 is hereby amended to add the following: On October 15, 2003, Mr. Melchert F. Groot was appointed to the Executive Board of HAL Holding. Mr. Groot is a citizen of the Netherlands, and his business address is c/o HAL Holding N.V., 5 Avenue des Citronniers, MC 98000, Monaco. Mr. Groot served as a director of the Issuer from June 19, 2001 until October 7, 2003. Item 4. Purpose of Transaction Item 4 is hereby amended to add the following: On January 26, 2004, the Issuer announced that it entered into an Agreement and Plan of Merger (the "Luxottica Merger Agreement") with Luxottica Group S.p.A. and Colorado Acquisition Corp., a wholly-owned subsidiary of Luxottica, under which Colorado Acquisition Corp. is proposed to be merged with and into the Issuer and each outstanding share of Common Stock is proposed to be converted into the right to receive $22.50 in cash. By letter dated January 23, 2004, in connection with the Issuer's entry into the Luxottica Merger Agreement, the Issuer granted HAL International a limited waiver of the application of Sections 2.8, 2.9, 2.14(a) and 2.18 of the Standstill Agreement. This waiver allowed HAL to continue to have discussions with Moulin International Holdings Limited ("Moulin") about Moulin's possible acquisition of the Issuer at a price above that contemplated by the Luxottica Merger Agreement. On April 15, 2004, Moulin submitted a letter to the Issuer's Board setting forth its proposal to acquire the Issuer in a merger at a price of $25.00 per share in cash (the "Moulin Merger"). Moulin's proposal contemplates that HAL will provide a portion of the financing for the transaction, including by purchasing certain assets of the Issuer at the closing of the Moulin Merger. Although no agreement exists between Moulin and HAL, before sending its proposal to the Issuer Moulin confirmed with HAL that HAL remained interested in acquiring the shares of Pearle Europe and Pearle, Inc. and the Cole Managed Vision business from the Issuer and, in that connection, would also be willing to assist in financing the transactions by lending a portion of the funds required by Moulin. HAL reviewed the written proposal sent by Moulin to the Issuer and consented to the inclusion of the statements concerning HAL that were included in the proposal. Except as noted above, there is no agreement, understanding or arrangement between HAL and Moulin relating to the proposed transactions. - -------------------------------------------------------------------------------- CUSIP No. 193290103 Page 5 of 6 pages - -------------------------------------------------------------------------------- Except as described above in this Item 4, the Reporting Persons have no present plans or proposals that relate to or that would result in any of the actions specified in Schedule 13D, Item 4, paragraph (a) through (j). Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer The information set forth above in Item 4 is incorporated in this Item 6 by reference as if fully set forth in this Item. - -------------------------------------------------------------------------------- CUSIP No. 193290103 Page 6 of 6 pages - -------------------------------------------------------------------------------- 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: April 19, 2004 HAL HOLDING N.V., A Netherlands Antilles Company By: /s/ Martijn van der Vorm ------------------------------ Name: Martijn van der Vorm Title: Authorized Signatory HAL INTERNATIONAL N.V., A Netherlands Antilles Company By: /s/ Martijn van der Vorm ------------------------------ Name: Martijn van der Vorm Title: Managing Director -----END PRIVACY-ENHANCED MESSAGE-----