-----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, LBV44UZ234w5WRecgrkG6mnsk2FKyrr0S00KzIgWZ8852l4E20APPGPWoTZzj++S 9qgy1ekEQm+cy33GzVAKDg== 0000950130-96-003813.txt : 19961008 0000950130-96-003813.hdr.sgml : 19961008 ACCESSION NUMBER: 0000950130-96-003813 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19961007 SROS: AMEX SROS: NYSE GROUP MEMBERS: BANKERS TRUST INTERNATIONAL GROUP MEMBERS: BANKERS TRUST NEW YORK CORP GROUP MEMBERS: BT HOLDINGS GROUP MEMBERS: BT SECURITIES 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: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-40785 FILM NUMBER: 96640197 BUSINESS ADDRESS: STREET 1: 1550 S REDWOOD RD CITY: SALT LAKE CITY STATE: UT ZIP: 84104 BUSINESS PHONE: 8019741400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13D/A 1 SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 ) SMITH'S FOOD & DRUG CENTERS, INC. ------------------------------------------------- (Name of Issuer) Class B Common Stock, $0.01 par value ------------------------------------------------ (Title of Class of Securities) 83238810 --------------------------------------------------- (CUSIP Number) Mr. James T. Byrne, Jr. Office of the Secretary Bankers Trust New York Corporation 280 Park Avenue, New York, NY 10017 Tel. (212) 250-1869 --------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 2 , 1996* --------------------------------------------------- (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(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with this statement [ ]. (A fee is not required if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *See Item 5. SCHEDULE 13D
- --------------------------------------------------------------------------------------------- CUSIP NO. 83238810 - --------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BT Holdings (New York), Inc. EIN No. 13-3553005 - --------------------------------------------------------------------------------------------- 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) [ X ] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 95,000 BENEFICIALLY _____________________________________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _____________________________________________________________________ 9. SOLE DISPOSITIVE POWER 95,000 _____________________________________________________________________ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 95,000 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .89% - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - ---------------------------------------------------------------------------------------------
SCHEDULE 13D
- --------------------------------------------------------------------------------------------- CUSIP NO. 83238810 - --------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust International plc - --------------------------------------------------------------------------------------------- 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 United Kingdom - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 0 BENEFICIALLY _______________________________________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _______________________________________________________________________ 9. SOLE DISPOSITIVE POWER 0 _______________________________________________________________________ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) N/A - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - ---------------------------------------------------------------------------------------------
SCHEDULE 13D
- --------------------------------------------------------------------------------------------- CUSIP NO. 83238810 - --------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BT Securities Corporation EIN No. 13-3311934 - --------------------------------------------------------------------------------------------- 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) [ X ] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 7,529 BENEFICIALLY _______________________________________________________________________ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 _______________________________________________________________________ 9. SOLE DISPOSITIVE POWER 7,529 _______________________________________________________________________ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,529 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .07% - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON BD - ---------------------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------- CUSIP NO. 83238810 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation EIN No. 13-6180473 - -------------------------------------------------------------------------------- 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) [ X ] - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 427,669/*/ BENEFICIALLY ___________________________________________ OWNED BY 8. SHARED VOTING POWER EACH 0 REPORTING ___________________________________________ PERSON WITH 9. SOLE DISPOSITIVE POWER 0* ___________________________________________ 10. SHARED DISPOSITIVE POWER 427,669* - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 427,669* - -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.03* - -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - --------------------------------------------------------------------------------
- ------------------------------ /*/Bankers Trust International plc is an indirect wholly-owned subsidiary of Bankers Trust New York Corporation. BT Holdings (New York), Inc. and BT Securities Corporation are direct wholly-owned subsidiaries of Bankers Trust New York Corporation. As a result, in addition to the shares of Class B Common Stock beneficially owned directly by Bankers Trust New York Corporation, Bankers Trust New York Corporation also may be deemed to be the indirect beneficial owner of the shares of Class B Common Stock beneficially owned by BT Holdings (New York), Inc., BT Securities Corporation and Bankers Trust International plc. SMITH'S FOOD & DRUG CENTERS, INC. ITEM 1. SECURITY AND ISSUER. This Amendment No. 1 amends a statement on Schedule 13D (the "Original 13D") relating to the Class B Common Stock, par value $.01 per ------------- share ("Class B Common Stock"), of Smith's Food & Drug Centers, Inc., a -------------------- Delaware corporation (the "Issuer"), filed with the Securities Exchange ------ Commission on September 27, 1996 by the filing persons described under Item 2. The principal executive offices of the Issuer are located at 1550 South Redwood Road, Salt Lake City, Utah 84104. This Amendment No. 1 to the Original 13D relates to the disposition by BT Holdings, Inc. of shares of Class B Common Stock as a result of which the persons described under Item 2 in the Original 13D now hold less than five percent (5%) of the outstanding shares of Class B Common Stock and are no longer subject to the reporting requirements of Rule 13d. ITEM 2. IDENTITY AND BACKGROUND. Item 2(a) through (c); Item 2(f). -------------------------------- No change. Items 2(d) and (e). ------------------ No change. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. On the date of the Original 13D, BT Holdings (New York), Inc. ("BTH") held an aggregate of 300,000 shares of Class B Common Stock (rather --- than the 235,200 shares reported in the Original 13D) as principal, using its working capital to acquire such shares of Class B Common Stock. Except as set forth herein, no other change is made to Item 3. ITEM 4. PURPOSE OF TRANSACTION. On the date of the filing of the Original 13D, Bankers Trust International plc did not own any shares of Class B Common Stock. In accordance with their statement in the Original 13D, the Purchasers evaluated their investments and determined to dispose of shares of Class B Common Stock. Except as set forth herein, no other change is made to Item 4. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) BTH beneficially owns 95,000 shares of Class B Common Stock as principal, constituting .89% of the issued and outstanding shares of Class B Common Stock of the Issuer. On the date of the filing of the original 13D and since such date, BTI did not and has not held any shares of Class B Common Stock of the Issuer, although it was reported in the Original 13D that BTI held one share on the date of such filing. The Purchasers beneficially own an aggregate of 530,198 shares or 4.99% of the outstanding shares of Class B Common Stock. Except as set forth herein, no change is made to Item 5(a). (b) No change. (c) Annex D hereto sets forth all transactions in shares of Class B Common Stock that were effected during the past sixty days by the persons referred to in paragraph (a). All such transactions were effected in the open market. (d) No change. (e) On October 2, 1996, BTH sold 205,000 shares of Class B Common Stock and the Purchasers ceased to be the beneficial owners of more than 5% of the Class B Common Stock. Except as set forth herein, no other change is made to Item 5. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. No change. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. 7.01. Joint filing statement pursuant to Rule 13d-1(f)(1). 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. Date: October 4, 1996 Signature: BANKERS TRUST NEW YORK CORPORATION By: s/ James T. Byrne, Jr. ---------------------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President ANNEX D Except as set forth below, none of BTH, BTNY, BTI or BT Securities had any transactions in shares of Common Stock within the last 60 days. BTH had the following transactions in shares of Common Stock during the sixty days prior to the filing of this Schedule 13D. All of such transactions were made in the open market and for cash.
- ----------------------------------------------------------------- Trade Date Transaction Quantity Price - ------------ ----------- -------- ----- - ----------------------------------------------------------------- 17-Sep-96 Purchase 21,500 27.00 - ----------------------------------------------------------------- 18-Sep-96 Purchase 13,500 26.75 - ----------------------------------------------------------------- 19-Sep-96 Purchase 8,600 27.00 - ----------------------------------------------------------------- 20-Sep-96 Purchase 56,200 26.55 - ----------------------------------------------------------------- 2 -Oct-96 Sale 205,000 27.00 - -----------------------------------------------------------------
EX-7.01 2 JOINT FILING STATEMENT EXHIBIT 7.01 JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), each of the undersigned hereby consents to the joint filing of Amendment No. 1 to the statement on Schedule 13D with respect to shares of Class B Common Stock, $0.01 par value, of Smith's Food & Drug Centers, Inc., on behalf of each of them. Date: October 4, 1996 Signature: BANKERS TRUST NEW YORK CORPORATION By: s/ James T. Byrne, Jr. ----------------------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President Signature: BT HOLDINGS (NEW YORK), INC. By: s/ Mannuel J. Schnaidman --------------------------------- Name: Mannuel J. Schnaidman Title: Vice President Signature: BANKERS TRUST COMPANY By: s/ James T. Byrne, Jr. -------------------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President Signature: BANKERS TRUST INTERNATIONAL PLC By: s/ James T. Byrne Jr. --------------------------------------- Name: James T. Byrne, Jr. Title: Attorney-in-fact Signature: BT SECURITIES CORPORATION By: s/ Thomas Quane --------------------------------------------- Name: Thomas Quane Title: Controller -----END PRIVACY-ENHANCED MESSAGE-----