-----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, MzGkBiDXXNvpgSSmTnnkw84T7klYh3qA0wEau9heCqK/u5sgaiTKPzph0j9hYmRG d5i9yi/gawlmliNcfJpxNw== 0000950150-97-001435.txt : 19971014 0000950150-97-001435.hdr.sgml : 19971014 ACCESSION NUMBER: 0000950150-97-001435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970909 FILED AS OF DATE: 19971010 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: 4 SEC ACT: SEC FILE NUMBER: 001-10252 FILM NUMBER: 97694375 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: 4 BUSINESS ADDRESS: STREET 1: 10000 STREET 2: 10000 SANTA MONICA BOULEVARD 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3107897800 4 1 FORM 4 1 - ------ --------------------------- FORM 4 OMB APPROVAL - ------ --------------------------- OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response.... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP /X/ Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Response) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to The Yucaipa Companies Smith's Food & Drug Centers, Inc. (SFD) Issuer (Check all applicable) - --------------------------------------------- ---------------------------------------------- Director X 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- 10000 Santa Monica Boulevard, Fifth Floor Number of Reporting Month/Year Officer (give Other (Specify - --------------------------------------------- Person (Voluntary) September 1997 ---- title --- below) (Street) ------------------ below) Los Angeles, California 90067 5. If Amendment, - --------------------------------------------- Date of Original -------------------------------- (City) (State) (Zip) (Month/Year) 7. Individual or Joint/Group Filing ------------------ (Check applicable line) Form filed by One ---- Reporting Person Form filed by More than ---- One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock, par 9/9/97 J(1)(6) 200,000 D (6) -0- D value $.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock, par 9/9/97 J(2)(6) 1,340,772 D (6) -0- I By Yucaipa value $.01 per share (7) SSV Part- ners, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock, par 9/9/97 J(3)(6) 300,667 D (6) -0- I By Yucaipa value $.01 per share (7) Smitty's Partners, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock, par 9/9/97 J(4)(6) 136,793 D (6) -0- I By Yucaipa value $.01 per share (7) Smitty's Partners II, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Class B Common Stock, par 9/9/97 J(5)(6) 273,582 D (6) -0- I By Yucaipa value $.01 per share (7) Arizona Partners, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7-96)
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Form 4 (Continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., Puts, Calls, Warrants, Options, Convertible Securities) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Derivative sion or action action Derivative cisable and of Underlying of Security Exercise Date Code Securities Ac- Expiration Securities Deriv- (Instr. 3) Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Warrant $50 9/9/97 J(8) 1,842,555 5/23/96 (8) Class C Common 1,842,555 (8) Stock, par value $.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of Derivative Form of Indirect Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- -0- D - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) Exchanged for 210,000 shares of common stock of Fred Meyer, Inc. pursuant to the business combination transaction between Smith's Food & Drug Centers, Inc. and Fred Meyer, Inc. (the "Merger"). (2) Exchanged for 1,407,810 shares of common stock of Fred Meyer, Inc. pursuant to the Merger. (3) Exchanged for 315,700 shares of common stock of Fred Meyer, Inc. pursuant to the Merger. (4) Exchanged for 143,632 shares of common stock of Fred Meyer, Inc. pursuant to the Merger. (5) Exchanged for 287,261 shares of common stock of Fred Meyer, Inc. pursuant to the Merger. (6) On September 9, 1997, the closing price of the common stock of Fred Meyer, Inc. on the New York Stock Exchange was $56.56. (7) The reporting person is the general partner of Yucaipa SSV Partners, L.P., Yucaipa Smitty's Partners, L.P., Yucaipa Smitty's Partners II, L.P. and Yucaipa Arizona Partners, L.P. 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. (8) Exchanged for a warrant to purchase an aggregate of 1,934,683 shares of common stock of Fred Meyer, Inc. at an exercise price of $47.62 per share pursuant to the Merger. One-half of the warrants are exercisable on or prior to May 23, 2000, and one-half of the warrants are exercisable on or prior to May 23, 2001. The Yucaipa Companies By: /s/ RONALD W. BURKLE Ronald W. Burkle, General Partner October 10, 1997 --------------------------------- ----------------- **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
3 Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1474 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----