-----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, MCWiJ/KSpenSZM23TyfQesaeUEJrx9DCG04xGgBBSK3vf7xTMyhbxLKrelJGhvse mHTXTUQh+SQiGTGE6V6Yrw== 0000769993-98-000315.txt : 19981211 0000769993-98-000315.hdr.sgml : 19981211 ACCESSION NUMBER: 0000769993-98-000315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981130 FILED AS OF DATE: 19981210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COST PLUS INC/CA/ CENTRAL INDEX KEY: 0000798955 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 941067973 STATE OF INCORPORATION: CA FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-14970 FILM NUMBER: 98767676 BUSINESS ADDRESS: STREET 1: 201 CLAY ST STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94607 BUSINESS PHONE: 4158937300 MAIL ADDRESS: STREET 1: P O BOX 23350 STREET 2: P O BOX 23350 CITY: OAKLAND STATE: CA ZIP: 94623 COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OTHER IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 85 Broad Street - -------------------------------------------------------------------------------- (Street) New York, New York 10004 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Cost Plus, Inc. (CPWM) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Year November/1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [ X ] Other (specify below) Former 10% Owner ------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [ ] Form filed by One Reporting Person [ X ] Form filed by More than One Reporting Person ================================================================================
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, | or Beneficially Owned | ==================================================================================================================================== | | | | |6. | | | | | 4. |5. |Owner- | | | | | Securities Acquired (A) or |Amount of |ship | | | | 3. | Disposed of (D) |Securities |Form: |7. | |2. | Transaction| (Instr. 3, 4 and 5) |Beneficially |Direct |Nature of | |Transaction | Code | -------------------------------|Owned at End |(D) or |Indirect | 1. |Date | (Instr. 8) | | (A) | |of Month |Indirect |Beneficial| Title of Security |(Month/Day/ | -----------| Amount | or | Price |(Instr. 3 |(I) |Ownership | (Instr. 3) |Year) | Code | V | | (D) | |and 4) |(Instr.4)|(Instr. 4)| - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | Common Stock | 11/23/98 | J(01) | | 01 | D | | 493,137(01) | 02 | 02 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued)
==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ==================================================================================================================================== | | | | | | | |9. |10. | | | | | | | | | |Number |Owner-| | | | | | | | | |of |ship | | |2. | | | | | | |Deriv- |of | | |Conver- | | | 5. | |7. | |ative |Deriv-|11. | |sion | | | Number of | |Title and Amount | |Secur- |ative |Nature| |or | | | Derivative |6. |of Underlying |8. |ities |Secur-|of | |Exer- | |4. | Securities |Date |Securities |Price |Bene- |ity: |In- | |cise |3. |Trans- | Acquired (A) |Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct| |Price |Trans- |action | or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- | 1. |of |action |Code | of (D) |(Month/Day/Year)| |Amount |ative |at End |In- |ficial| Title of |Deriv- |Date |(Instr | (Instr. 3, |----------------| |or |Secur- |of |direct|Owner-| Derivative |ative |(Month/ |8) | 4 and 5) |Date |Expira-| |Number |ity |Month |(I) |ship | Security |Secur- |Day/ |------ | ------------ |Exer- |tion | |of |(Instr. |(Instr. |(Instr|(Instr| (Instr. 3) |ity |Year) |Code |V| (A) | (D) |cisable |Date |Title |Shares |5) |4) |4) |4) | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option | | | | | | | | | | | | | | | (right to buy) | $15.00 | | | | | | 03 |4/3/06 |Common Stock | 7,075 | | 7,075 |02,03 |02,03 | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option | | | | | | | | | | | | | | | (right to buy) |$23.3125| | | | | | 04 |6/19/07|Common Stock | 2,000 | | 2,000 |02,04 |02,04 | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ====================================================================================================================================
Instruction 4(b)(v) list of other Reporting Persons: This statement is being filed by Goldman Sachs Credit Partners, L.P. ("GS Credit Partners"), Goldman Sachs Global Holdings, L.L.C. ("GS Global Holdings"), The Goldman Sachs Group, L.P. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs", and together with GS Credit Partners, GS Global Holdings and GS Group, the "Reporting Persons"). The principal business address of each of GS Global Holdings, GS Group and Goldman Sachs is 85 Broad Street, New York, New York 10004. The principal business address of GS Credit Partners is Conyers, Dill & Pearman, Church Street, Hamilton HM CX, Bermuda. Explanation of Responses: 01: On November 23, 1998, GS Credit Partners effected a distribution of 5,482 shares of common stock of Cost Plus, Inc. ("Common Stock") to GS Global Holdings and 542,750 shares of Common Stock to GS Group. On such date, GS Group distributed the 542,750 shares of Common Stock received from GS Credit Partners to its limited partners (the "Distribution"). Due to the Distribution, as of November 23, 1998, the Reporting Persons ceased to beneficially own more than 10% of Common Stock reported to be outstanding in the Company's Quarterly Report on Form 10-Q for the period ended August 1, 1998 and are therefore no longer subject to Section 16. 02: GS Group may be deemed to own beneficially and indirectly in the aggregate 493,137 shares of Common Stock through GS Credit Partners and GS Global Holdings. GS Group is the 99% owner of GS Global Holdings. GS Global Holdings is the general partner of GS Credit Partners. GS Group is the general partner of and has a 99% interest in Goldman Sachs. GS Group disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest therein. GS Credit Partners may be deemed to own beneficially and directly 487,655 shares of Common Stock. GS Global Holdings may be deemed to own beneficially and directly 5,482 shares of Common Stock and as the general partner of GS Credit Partners may be deemed to own beneficially and indirectly the 487,655 shares of Common Stock held by GS Credit Partners. GS Global Holdings disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest therein. 03: These options were granted to Goldman Sachs, on April 3, 1996, under the Company's 1995 Stock Option Plan. They become exercisable in 25% installments on the first, second third and fourth anniversaries of the grant date. 04: These options were granted to GS Group, on June 19, 1997, under the Company's 1996 Director Option Plan. They become exercisable in 25% installments on the first, second, third and fourth anniversaries of the grant date. Signatures: THE GOLDMAN SACHS GROUP, L.P. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: s/ Roger S. Begelman --------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN SACHS CREDIT PARTNERS, L.P. By: s/ Roger S. Begelman -------------------- Name: Roger S. Begelman Title: Attorney-in-fact GOLDMAN SACHS GLOBAL HOLDINGS, L.L.C. By: s/ Roger S. Begelman -------------------- Name: Roger S. Begelman Title: Attorney-in-fact Date: December 10, 1998 ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. -----END PRIVACY-ENHANCED MESSAGE-----