-----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, FfkoTK+sEghJ+lmyGkorCMYHIWpSLVugLj8xx7m6z3WCtj/wkqiWRNBABk75gfnA 7Kdywi67C7GGLvhTFFAVqQ== 0000892569-97-000524.txt : 19970225 0000892569-97-000524.hdr.sgml : 19970225 ACCESSION NUMBER: 0000892569-97-000524 CONFORMED SUBMISSION TYPE: SC 13G CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19970224 SROS: NASD GROUP MEMBERS: D C H L P GROUP MEMBERS: PAUL C. HEESCHEN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIEDRICH COFFEE INC CENTRAL INDEX KEY: 0000947661 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FOOD STORES [5400] IRS NUMBER: 330086628 STATE OF INCORPORATION: CA FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-50104 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 2144 MICHELSON DRIVE STREET 2: STE A CITY: IRVINE STATE: CA ZIP: 9262682612 BUSINESS PHONE: 7142601600 MAIL ADDRESS: STREET 1: 2144 MICHELSON DRIVE CITY: IRVINE STATE: CA ZIP: 92612 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: D C H L P CENTRAL INDEX KEY: 0001034421 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 450 NEWPORT CTR DRIVE # 450 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 7146441850 SC 13G 1 SCHEDULE 13 G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------------- SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _________________)(1) DIEDRICH COFFEE, INC. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 253675 (CUSIP Number) (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 the disclosures provided in a prior cover page. The information required in 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 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). 2 - ---------------- ----------------- CUSIP NO. 253675 13G PAGE 1 OF 8 PAGES - ---------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON D.C.H., L.P. S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF ------------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,168,097 shares of Common Stock OWNED BY ------------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ------------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 1,168,097 shares of Common Stock - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,168,097 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 21.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - ---------------- ----------------- CUSIP NO. 253675 13G PAGE 2 OF 8 PAGES - ---------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Paul C. Heeschen S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,424,011 shares of Common Stock OWNED BY ----------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER 1,424,011 shares of Common Stock - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,424,011 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 26.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 Pursuant to Rule 13d-1(c), this statement is filed on behalf of the Reporting Persons identified herein. ITEM1(a). NAME OF ISSUER: Diedrich Coffee, Inc. ITEM1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2144 Michelson Drive, Irvine, California 92612 ITEM 2(a). NAME OF PERSON FILING: The persons filing this Schedule 13G are D.C.H., L.P., a California limited partnership, and Paul C. Heeschen (collectively, the "Filing Persons"). ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 450 Newport Center Drive, Suite 450, Newport Beach, CA 92660 ITEM 2(c). CITIZENSHIP: The responses of the Filing Persons with regard to Item 4 of the cover pages to this Schedule 13G that relate to the citizenships or places of organization of such persons are herein incorporated by reference. ITEM 2(d). TITLE OF CLASS OF SECURITIES: This filing is made in regard to Common Stock, par value $0.01 per share, of Diedrich Coffee, Inc. (the "Common Stock"). ITEM 2(e). CUSIP NUMBER: 253675 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under Section 15 of the Act, (b) / / Bank as defined in Section 3(a)(6) of the Act, (c) / / Insurance Company as defined in Section 3(a)(19) of the Act, (d) / / Investment Company registered under Section 8 of the Investment Company Act, (e) / / Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d-1(b)(1)(ii)(F), (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii); see Item 7, 5 (h) / / Group, in accordance with Rule 13d-1(b)(ii)(H). ITEM 4. OWNERSHIP. (a) Amount beneficially owned: The responses of the Filing Persons to Item 9 of the cover pages to this Schedule 13G that relate to the aggregate amount beneficially owned by such persons are herein incorporated by reference. (b) Percent of class: The responses of the Filing Persons to Item 11 of the cover pages to this Schedule 13G that relate to the percentage of Common Stock beneficially owned by such persons are herein incorporated by reference. (c) Number of shares as to which such Filing Persons have: The responses of the Filing Persons to Items 5 through 8 of the cover pages to this Schedule 13G that relate to the number of shares beneficially owned by such persons are herein incorporated by reference. (i) Sole power to vote or to direct the vote - (ii) Shared power to vote or to direct the vote - (iii) Sole power to dispose or to direct the disposition of - (iv) Shared power to dispose or to direct the disposition of - ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. The Filing Persons have filed this Schedule 13G as a group pursuant to Rule 13d-1(f). The identity of each member of the group is set forth in Exhibit 1 attached hereto. The Filing Persons entered into a Joint Reporting Agreement dated February 14, 1997, pursuant to which they agreed to file one joint statement on behalf of all of them with respect to the subject matter of this Schedule 13G. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. 6 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. Dated: February 14, 1997 D.C.H., L.P., a California limited partnership By: /s/ Paul C. Heeschen ------------------------------ Paul C. Heeschen General Partner /s/ Paul C. Heeschen ------------------------------ Paul C. Heeschen 7 EXHIBIT INDEX
Exhibit Sequentially Number Description Numbered Page - ------- ----------- ------------- 1 Identification of Members of the Group 1 2 Joint Reporting Agreement dated February 14, 1997 2
EX-1 2 IDENTIFICATION OF MEMBERS OF THE GROUP 1 EXHIBIT 1 IDENTIFICATION OF MEMBERS OF THE GROUP 1. D.C.H., L.P, a California limited partnership 2. Paul C. Heeschen EX-2 3 JOINT REPORTING AGREEMENT DATED 02/14/97 1 EXHIBIT 2 JOINT REPORTING AGREEMENT In consideration of the mutual covenants herein contained, each of the parties hereto represents to and agrees with the other party as follows: 1. Such party is eligible to file a statement or statements on Schedule 13G pertaining to the Common Stock, $0.01 par value, of Diedrich Coffee, Inc., to which this agreement is an exhibit, for filing of the information contained therein. 2. Such party is responsible for the timely filing of such statement and any amendments thereto and for the completeness and accuracy of the information concerning such party contained therein, provided that no such party is responsible for the completeness or accuracy of the information concerning any other party making the filing, unless such party knows or has reason to believe that such information is inaccurate. 3. Such party agrees that such statement is filed by and on behalf of such party and that any amendment thereto will be filed on behalf of each such party. Dated: February 14, 1997 D.C.H., L.P., a California limited partnership By: /s/ Paul C. Heeschen ------------------------------ Paul C. Heeschen General Partner /s/ Paul C. Heeschen ------------------------------ Paul C. Heeschen -----END PRIVACY-ENHANCED MESSAGE-----