-----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, Mga46Cp5bpbUBzgdPuk6gB1DajFKAp6h5d7IPQIATnXij+RhmNCso2523CW5gSsx X0o9poWz6unbsNOSmQ5NNg== 0000892569-98-001156.txt : 19980424 0000892569-98-001156.hdr.sgml : 19980424 ACCESSION NUMBER: 0000892569-98-001156 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980423 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: 0129 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-50104 FILM NUMBER: 98599845 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 13D BUSINESS ADDRESS: STREET 1: 450 NEWPORT CTR DRIVE # 450 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 7146441850 SC 13D 1 SCHEDULE 13D FOR D.C.H., L.P. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------------- AMENDMENT NO. 3 TO SCHEDULE 13D (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(A) DIEDRICH COFFEE, INC. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 253675 (CUSIP Number) Paul C. Heeschen Heeschen & Associates 450 Newport Center Drive, Suite 450 Newport Beach, California 92660 714-644-1850 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 23, 1998 (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(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages) (Page 1 of 6 Pages) 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 2 the Notes). 3 CUSIP NO. 253675 13D PAGE 2 OF 6 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 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] Not applicable - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ---------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY 1,473,197 shares of Common Stock OWNED BY ---------------------------------------------------------- OWNED BY EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 0 PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 1,473,197 shares of Common Stock - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,473,197 shares of Common Stock - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] Not applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 CUSIP NO. 253675 13D PAGE 3 OF 6 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 SOURCE OF FUNDS PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] Not applicable - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 32,369 shares of Common Stock ---------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY 1,729,111 shares of Common Stock OWNED BY ---------------------------------------------------------- OWNED BY EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON 32,369 shares of Common Stock PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 1,729,111 shares of Common Stock - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,761,480 shares of Common Stock - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] Not applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 29.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 5 PAGE 4 OF 6 PAGES This Amendment No. 3 amends the Schedule 13D, dated May 14, 1997, of D.C.H., L.P., a California limited partnership, and Paul C. Heeschen, the sole general partner of D.C.H., L.P. (the "Reporting Persons") with respect to the common stock, $0.01 par value per share, ("Common Stock") of Diedrich Coffee, Inc., as amended on June 10, 1997 and June 12, 1997. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. This Amendment No. 3 to Schedule 13D is filed to report (a) the purchase by D.C.H., L.P. from one or more sellers in the open market of 5,000 shares of Common Stock on June 11, 1997, 6,000 shares of Common Stock on June 12, 1997 and 20,000 shares of Common Stock on June 19, 1997, (b) the acquisition by Mr. Heeschen of 7,369 shares of Common Stock in July 1997 upon the dissolution of Diedrich Partners I, L.P. and the distribution of its assets to its limited partners, (c) the grant of options pursuant to the 1997 Non-Employee Director Stock Option Plan to purchase 10,000 shares of Common Stock which became exercisable on April 23, 1998 and (d) the grant of options pursuant to the 1996 Non-Employee Director Stock Option Plan to purchase 10,000 shares of Common Stock which will become exercisable on June 23, 1998. These acquisitions result in an increase in the aggregate number of shares of Common Stock beneficially owned by the Reporting Persons as reported on Amendment No. 2 to Schedule 13D filed with the Securities and Exchange Commission on June 12, 1997. D.C.H., L.P. purchased the shares of Common Stock with working capital funds as follows: June 11, 1997 - 5,000 shares at a weighted average purchase price of $3.4375 per share June 12, 1997 - 6,000 shares at a weighted average purchase price of $3.4376 per share June 19, 1997 - 20,000 shares at a weighted average purchase price of $3.34375 per share The shares distributed to Mr. Heeschen in July 1997 were purchased by Diedrich Partners I, L.P. (of which Mr. Heeschen was a limited partner) on June 29, 1995 at a purchase price of $1.433 per share. With respect to the options granted to Mr. Heeschen pursuant to the 1996 Non-Employee Director Stock Option Plan, options to purchase 5,000 shares are exercisable at $9.50 per share and options to purchase the remaining 5,000 shares are exercisable at $2.75 per share. The options to purchase 10,000 shares of Common Stock granted to Mr. Heeschen pursuant to the 1997 Non-Employee Director Stock Option Plan are exercisable at $2.75 per share. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) The responses of the Reporting Persons with regard to Items 11 and 13 of the cover pages to this Amendment No. 3 to Schedule 13D that relate to the aggregate number and percentage of Common Stock beneficially owned by such persons are herein incorporated by reference. (b) The responses of the Reporting Persons with regard to Items 7, 8, 9 and 10 of the cover pages to this Amendment No. 3 to Schedule 13D that relate to the number of shares as to which such persons have sole power to vote or to direct the vote, shared power to vote or to direct the vote, and sole or shared power to dispose or to direct the disposition are herein incorporated by reference. 6 PAGE 5 OF 6 PAGES (c) Except as described herein, neither Reporting Person has effected any transaction relating to shares of Common Stock since the most recent filing on Schedule 13D. (d) As the sole general partner of D.C.H., L.P. with voting and investment power as to all of such shares beneficially owned by D.C.H., L.P., Mr. Heeschen is deemed to beneficially own all of the shares of Common Stock beneficially owned by D.C.H., L.P. (e) Not applicable. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. 99.1 Joint Filing Agreement (previously filed with the Schedule 13D, dated May 14, 1997). 7 PAGE 6 OF 6 PAGES SIGNATURES After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this Amendment No. 3 to Schedule 13D is true, complete and correct. Dated: April 23, 1998 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-----