-----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, NAFmhvW9f6OyHyz4RkLJ63uVhjpM7hVlsmMK46ioeTeLWMxIuLZ7802iKeN63nnI rmrPVQEgIg38zhKufqusGg== 0001181431-09-020536.txt : 20090421 0001181431-09-020536.hdr.sgml : 20090421 20090421194943 ACCESSION NUMBER: 0001181431-09-020536 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090417 FILED AS OF DATE: 20090421 DATE AS OF CHANGE: 20090421 ISSUER: 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: 0627 BUSINESS ADDRESS: STREET 1: 28 EXECUTIVE PARK STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 9492601600 MAIL ADDRESS: STREET 1: 28 EXECUTIVE PARK STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEESCHEN PAUL C CENTRAL INDEX KEY: 0001038518 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21203 FILM NUMBER: 09762565 MAIL ADDRESS: STREET 1: 450 NEWPORT CENTER DRIVE STREET 2: STE 450 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sequoia Enterprises, L.P. CENTRAL INDEX KEY: 0001296809 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21203 FILM NUMBER: 09762564 BUSINESS ADDRESS: STREET 1: 450 NEWPORT CENTER DRIVE, STE 450 CITY: NEWPORT BEACH STATE: CA ZIP: 92662 BUSINESS PHONE: 949-644-1850 MAIL ADDRESS: STREET 1: 450 NEWPORT CENTER DRIVE, STE 450 CITY: NEWPORT BEACH STATE: CA ZIP: 92662 4 1 rrd240233.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0303 4 2009-04-17 0 0000947661 DIEDRICH COFFEE INC DDRX 0001038518 HEESCHEN PAUL C 450 NEWPORT CENTER DRIVE SUITE 450 NEWPORT BEACH CA 92660 1 0 1 0 0001296809 Sequoia Enterprises, L.P. 450 NEWPORT CENTER DRIVE SUITE 450 NEWPORT BEACH CA 92660 0 0 1 0 Common Stock 2009-04-17 4 J 0 450000 0 D 2444043 I See Note Common Stock 2009-04-17 4 J 0 450000 0 D 1573604 D Warrant to Purchase Common Stock 1.60 2009-04-17 4 J 0 300000 0 D 2008-08-26 2013-08-26 Common Stock 300000 1617000 I See Note On April 17, 2009, 450,000 shares of common stock were transferred from Sequoia Enterprises, L.P. to WF Trust, an irrevocable trust of which Mr. Heeschen is sole trustee. Includes (i) 1,573,604 shares of common stock of the issuer held by Sequoia Enterprises, L.P.; (ii) 419,268 shares of common stock of the issuer held by D.C.H., L.P.; (iii) 450,000 shares of common stock of the issuer held by WF Trust; (iv) 921 shares of common stock of the issuer held by Mr. Heeschen; and (v) 250 shares of common stock of the issuer held by the Paul C. Heeschen Revocable Living Trust. Mr. Heeschen, Sequoia Enterprises, L.P., D.C.H., L.P., and WF Trust are the beneficial owners of such shares. Mr. Heeschen is the sole general partner of Sequoia Enterprises, L.P. and D.C.H., L.P. with sole voting and investment power as to all of the shares held by Sequoia Enterprises, L.P. and D.C.H., L.P. and the sole trustee with sole voting and investing power as to all of the shares held by WF Trust and the Paul C. Heeschen Revocable Living Trust. Includes 1,573,604 shares of common stock of the issuer held by Sequoia Enterprises, L.P. and excludes 450,000 shares of common stock of the issuer that were transferred from Sequoia Enterprises, L.P. to WF Trust on April 17, 2009. The common stock of the issuer is owned directly by Sequoia Enterprises, L.P., a greater than 10% owner of the issuer, and indirectly by Paul C. Heeschen, the sole general partner of Sequoia Enterprises, L.P. Mr. Heeschen is also the chairman of the board of directors of the issuer. On April 17, 2009, 300,000, warrants to purchase common stock were transferred to WF Trust, an irrevocable trust of which Mr. Heeschen is sole trustee. Includes a warrant to purchase 250,000 shares of common stock of the issuer (which was issued to Sequoia Enterprises, L.P. on May 8, 2001) and a warrant to purchase 1,367,000 shares of common stock of the issuer (which was issued to Sequoia Enterprises, L.P. on August 26, 2008) and excludes a warrant to purchase 300,000 shares of common stock that was transferred to WF Trust on April 17, 2009. The warrants are owned directly by Sequoia Enterprises, L.P., a greater than 10% owner of the issuer, and indirectly by Paul C. Heeschen, the sole general partner of Sequoia Enterprises, L.P. Mr. Heeschen is also the chairman of the board of directors of the issuer. /s/ Paul C. Heeschen 2009-04-21 /s/ Paul C. Heeschen, as General Partner, Sequoia Enterprises, L.P. 2009-04-21 -----END PRIVACY-ENHANCED MESSAGE-----