FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/17/2009 |
3. Issuer Name and Ticker or Trading Symbol
DIEDRICH COFFEE INC [ DDRX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 450,000(1) | D(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant to Purchase Common Stock | 08/26/2008 | 08/26/2013 | Common stock | 300,000(3) | $1.6 | D(2) |
Explanation of Responses: |
1. On April 17, 2009, 450,000 shares of issuer common stock were transferred from Sequoia Enterprises, L.P., a limited partnership of which Paul C. Heeschen is the general partner with sole voting and investment power as to all of the shares and warrants of issuer held by such entity, to WF Trust, an irrevocable trust of which Mr. Heeschen is sole trustee. |
2. The common stock and warrants of issuer are owned directly by WF Trust, a greater than 10% owner of the issuer, and indirectly by Paul C. Heeschen, the sole trustee of WF Trust with sole voting and investment power as to all of the shares and warrants of issuer held by WF Trust. Mr. Heeschen is also the chairman of the board of directors of the issuer. |
3. On April 17, 2009, 300,000, warrants to purchase issuer common stock were transferred from Sequoia Enterprises, L.P., a limited partnership of which Paul C. Heeschen is the general partner with sole voting and investment power as to all of the shares and warrants of issuer held by such entity, to WF Trust, an irrevocable trust of which Mr. Heeschen is sole trustee. |
Paul C. Heeschen, as Trustee, WF Trust | 04/27/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |