-----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, UJMlfPEolDzOW8wd1mGqkecJEi/udG4cl/2dRn3ziWtGZVVVgE67UbOuzn/aqdXy DYNzBhvoiD2wRvQiMsp6DA== 0000898430-96-002421.txt : 19960604 0000898430-96-002421.hdr.sgml : 19960604 ACCESSION NUMBER: 0000898430-96-002421 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960603 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMITHS FOOD & DRUG CENTERS INC CENTRAL INDEX KEY: 0000850309 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 870258768 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10252 FILM NUMBER: 96576293 BUSINESS ADDRESS: STREET 1: 1550 S REDWOOD RD CITY: SALT LAKE CITY STATE: UT ZIP: 84104 BUSINESS PHONE: 8019741400 COMPANY DATA: COMPANY CONFORMED NAME: YUCAIPA COMPANIES CENTRAL INDEX KEY: 0001015905 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 10000 STREET 2: 10000 SANTA MONICA BOULEVARD 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3107897800 3 1 THE YUCAIPA COMPANIES FORM 3 DATED 05/23/96 - -------- FORM 3 - -------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person The Yucaipa Companies - ----------------------------------------------------------- (Last) (First) (Middle) 10000 Santa Monica Boulevard, Fifth Floor - ----------------------------------------------------------- (Street) Los Angeles CA 90067 - ----------------------------------------------------------- (City) (State) (Zip) - ----------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 5/23/96 - ----------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - ----------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Smith's Food & Drug Centers, Inc. (SFD) - ----------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) Director X 10% Owner ----- ----- Officer (give Other (specify ----- title below) ----- below) ------------------------------------ 6. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------- Table 1 - Non-Derivative Securities Beneficially Owned - ----------------------------------------------------------- 1. Title of Security (Instr. 4) - ----------------------------------------------------------- Class B Common Stock, par value $.01 per share - ----------------------------------------------------------- 2. Amount of Securites Beneficially Owned (Instr. 4) - ----------------------------------------------------------- 200,000 - ----------------------------------------------------------- 1,140,816* - ----------------------------------------------------------- 300,667* - ----------------------------------------------------------- 136,793* - ----------------------------------------------------------- 547,130* - ----------------------------------------------------------- 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) - ----------------------------------------------------------- (D) - ----------------------------------------------------------- (I) - ----------------------------------------------------------- (I) - ----------------------------------------------------------- (I) - ----------------------------------------------------------- (I) - ----------------------------------------------------------- 4. Nature of Indirect Beneficial Ownership (Instr. 5) - ----------------------------------------------------------- - ----------------------------------------------------------- By Yucaipa SSV Partners, L.P. - ----------------------------------------------------------- By Yucaipa Smitty's Partners, L.P. - ----------------------------------------------------------- By Yucaipa Smitty's Partners II, L.P. - ----------------------------------------------------------- By Yucaipa Arizona Partners, L.P. - ----------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses)
FORM 3 (continued) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Expiration (Instr. 4) Exercise Form of Ownership Date Price of Deriv- (Instr. 5) (Month/Day/ Deri- ative Year) vative Security: -------------------------------------------------- Security Direct Date Expira- Amount (D) or Exer- tion Title or Indirect cisable Date Number (I) of (Instr. 5) Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Series A Warrants 5/23/96 5/23/00 Class C Common Stock, 921,277 $50/share (D) par value $.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Series B Warrants 5/23/96 5/23/01 Class C Common Stock, 921,278 $50/share (D) par value $.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: *The reporting person disclaims beneficial ownership of these securities (except to the extent of the reporting person's pecuniary interest therein) and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. /s/ Mark Resnik ** Intentional misstatements or omissions of facts constitute General Partner May 31, 1996 Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. -------------------------------- ------------------ 78ff(a). **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Page 2
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