-----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, HpetOvIE25HXZQz61XmYaMNu+PEifrtcoE98VkngKtvGeOcuEMJ0pgXgrk4A8jFP 5VgSg/jxxNwLOGleZq98SQ== 0000929624-97-001439.txt : 19971125 0000929624-97-001439.hdr.sgml : 19971125 ACCESSION NUMBER: 0000929624-97-001439 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971124 SROS: PSE GROUP MEMBERS: UNITED BREWERIES OF AMERICA INC GROUP MEMBERS: VIJAY MALLYA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MENDOCINO BREWING CO INC CENTRAL INDEX KEY: 0000919134 STANDARD INDUSTRIAL CLASSIFICATION: MALT BEVERAGES [2082] IRS NUMBER: 680318293 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46539 FILM NUMBER: 97727263 BUSINESS ADDRESS: STREET 1: 13351 S HWY 101 CITY: HOPLAND STATE: CA ZIP: 95449 BUSINESS PHONE: 7077441015 MAIL ADDRESS: STREET 1: 13351 S HWY 101 CITY: HOPLAND STATE: CA ZIP: 95449 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED BREWERIES OF AMERICA INC CENTRAL INDEX KEY: 0001048728 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: THREE HARBOR DRIVR, SUITE 115 CITY: SAUSALITO STATE: CA ZIP: 94965 BUSINESS PHONE: 4152891400 SC 13D/A 1 SCHEDULE 13D/A #1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (AMENDMENT NO. 1 )1 ----- MENDOCINO BREWING COMPANY, INC. ------------------------------------------------------------- (Name of Issuer) Common Stock --------------------------------------------------- (Title of Class of Securities) 586579 10 4 ----------------------------------------- (CUSIP Number) Alan Talkington, Esq. Orrick, Herrington & Sutcliffe LLP 400 Sansome Street San Francisco, CA 94111 (415) 773-5762 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) November 15, 1997 ------------------------------------------------------------ (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 [_]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (PAGE 1 OF 5 PAGES) - --------------------------- /1/ 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). - ----------------------- --------------------- CUSIP NO. 586579 10 4 13D PAGE 2 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 United Breweries of America, Inc. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS 4 OO, AF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS 5 REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 2,119,647* SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2,119,647* PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,119,647* - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13 44.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 CO - ------------------------------------------------------------------------------ - -------------------------- * Includes 305,882 shares issuable to the Reporting Person pursuant to the Investment Agreement. See Item 4. - ----------------------- --------------------- CUSIP NO. 586579 10 4 13D PAGE 3 OF 5 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 Vijay Mallya S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS 4 OO, AF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS 5 REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 India - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 2,119,647* SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2,119,647* PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,119,647* - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13 44.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN - ------------------------------------------------------------------------------ - -------------------------- * Includes 305,882 shares issuable to the Reporting Person pursuant to the Investment Agreement. See Item 4. Page 4 United Breweries of America, Inc., a Delaware corporation (the "Reporting Person") and Vijay Mallya ("Mallya"), hereby amend the single joint statement on Schedule 13D (the "Schedule 13D"), filed with the Securities and Exchange Commission, with respect to the shares of Common Stock, no par value (the "Common Stock"), of Mendocino Brewing Company, Inc., a California corporation (the "Issuer"), as follows: ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION ------------------------------------------------- The last sentence of the first paragraph of Item 3 is hereby amended to read as follows: In addition, pursuant to the Investment Agreement, the Issuer issued 211,765 shares of Common Stock to the Reporting Person in exchange for $900,000 as of November 15, 1997 and agreed to issue an additional 305,882 shares of Common Stock to the Reporting Person on November 30, 1997 in exchange for $1,300,000. The last sentence of the last paragraph of Item 3 is hereby amended to read as follows: As of November 15, 1997, the Reporting Person paid the Issuer $900,000 in exchange for 211,765 shares of Common Stock, which amount was provided by the Reporting Person from capital contributions it received from its affiliates. The Reporting Person currently anticipates that the funds that will be used to acquire the shares of Common Stock on November 30, 1997 as described above will be provided by the Reporting Person from additional capital contributions it receives from its affiliates. ITEM 4. PURPOSE OF TRANSACTION ---------------------- The second paragraph of Item 4, captioned "Purchase of Shares" is hereby amended in its entirety to read as follows: Purchase of Shares. As set forth in the Investment Agreement and ------------------ as described in Item 3, the Issuer has agreed to issue 305,882 shares of Common Stock on November 30, 1997, in exchange for the delivery of a check in the amount of $1,300,000 by the Reporting Person. ITEM 5. INTERESTS IN SECURITIES OF ISSUER --------------------------------- The first paragraph of subsection (a) of Item 5 is hereby amended in its entirety to read as follows: (a) As of November 17, 1997, the reporting Person is the beneficial owner of 2,119,647 shares of Common Stock of the Issuer, constituting approximately 44.5% of the shares of Common Stock outstanding. This number includes 305,882 shares of Issuer's Common Stock issuable to the Reporting Person on November 30, 1997 as more fully described in Items 3 and 4. Page 5 After reasonable inquiry and to the best of the undersigned's knowledge and belief, the udnersigned hereby certify that the information set forth in this statement is true, complete and correct. Date: November 21, 1997 UNITED BREWERIES OF AMERICA, INC. By: /s/ VIJAY MALLYA --------------------------------- Name: Vijay Mallya Title: Chairman and Chief Executive Officer VIJAY MALLYA By: /s/ VIJAY MALLYA --------------------------------- Vijay Mallya -----END PRIVACY-ENHANCED MESSAGE-----