-----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, V/6Wbp1OLvNFDQ4cbFwRhkV9GSUKQVKa7obz4M/j971wZMhm/YPO/r1axA/SsdyU 2OFIhk1letc9kBRZtykCRw== 0000950130-96-003702.txt : 19960930 0000950130-96-003702.hdr.sgml : 19960930 ACCESSION NUMBER: 0000950130-96-003702 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19960927 SROS: AMEX SROS: NYSE GROUP MEMBERS: BANKERS TRUST INTERNATIONAL GROUP MEMBERS: BANKERS TRUST NEW YORK CORP GROUP MEMBERS: BT HOLDINGS GROUP MEMBERS: BT SECURITIES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMITHS FOOD & DRUG CENTERS INC CENTRAL INDEX KEY: 0000850309 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 870258768 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-40785 FILM NUMBER: 96636319 BUSINESS ADDRESS: STREET 1: 1550 S REDWOOD RD CITY: SALT LAKE CITY STATE: UT ZIP: 84104 BUSINESS PHONE: 8019741400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13D 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ____ ) SMITH'S FOOD & DRUG CENTERS, INC. ----------------------------------------------------------- (Name of Issuer) Class B Common Stock, $0.01 par value -------------------------------------------------------- (Title of Class of Securities) 83238810 --------------------------------------------------- (CUSIP Number) Mr. James T. Byrne, Jr. Office of the Secretary Bankers Trust New York Corporation 280 Park Avenue, New York, NY 10017 Tel. (212) 250-1869 ----------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 17 , 1996* ----------------------------------------------------------- (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 [ ]. Check the following box if a fee is being paid with this statement [ X ]. (A fee is not required if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) See Item 5. Exhibit Index on Page 23 1 of 24 SCHEDULE 13D
CUSIP NO. 83238810 - -------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BT Holdings (New York), Inc. EIN No. 13-3553005 - -------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC - --------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [X] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 235,200 BENEFICIALLY ------------------------------------------------------------------------ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 ------------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 235,200 ------------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 235,200 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.21% - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - ---------------------------------------------------------------------------------------------
2 of 24 SCHEDULE 13D
CUSIP NO. 83238810 - -------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust International plc - -------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC - --------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 1 BENEFICIALLY ------------------------------------------------------------------------ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 ------------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 1 ------------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) N/A - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - ---------------------------------------------------------------------------------------------
3 of 24 SCHEDULE 13D
CUSIP NO. 83238810 - -------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BT Securities Corporation EIN No. 13-3311934 - -------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC - --------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [X] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 7,529 BENEFICIALLY ------------------------------------------------------------------------ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 ------------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 7,529 ------------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,529 - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.07% - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON BD - ---------------------------------------------------------------------------------------------
4 of 24 SCHEDULE 13D
CUSIP NO. 83238810 - -------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation EIN No. 13-6180473 - -------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS WC - --------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [X] - --------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York - --------------------------------------------------------------------------------------------- NUMBERS OF 7. SOLE VOTING POWER SHARES 427,669* BENEFICIALLY ------------------------------------------------------------------------ OWNED BY EACH REPORTING 8. SHARED VOTING POWER PERSON WITH 0 ------------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER 0* ------------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER 427,669* - --------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 427,669* - --------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - --------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.03* - --------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON CO - ---------------------------------------------------------------------------------------------
- --------------- *Bankers Trust International plc is an indirect wholly-owned subsidiary of Bankers Trust New York Corporation. BT Holdings (New York), Inc. and BT Securities Corporation are direct wholly-owned subsidiaries of Bankers Trust New York Corporation. As a result, in addition to the shares of Class B Common Stock beneficially owned directly by Bankers Trust New York Corporation, Bankers Trust New York Corporation also may be deemed to be the indirect beneficial owner of the shares of Class B Common Stock beneficially owned by BT Holdings (New York), Inc., BT Securities Corporation and Bankers Trust International plc. 5 of 24 SMITH'S FOOD & DRUG CENTERS, INC. SECURITY AND ISSUER. This statement relates to the Class B Common Stock, par value $.01 per share ("Class B Common Stock"), of Smith's Food & Drug Centers, Inc., a Delaware corporation (the "Issuer"). The principal executive offices of the Issuer are located at 1550 South Redwood Road, Salt Lake City, Utah 84104. ITEM 2. IDENTITY AND BACKGROUND. Item 2(a) through (c); Item 2(f). -------------------------------- This statement is being filed by (i) BT Holdings (New York), Inc., a New York corporation ("BTH"), with respect to the shares of Class B Common Stock held by it as principal; (ii) Bankers Trust International plc, a United Kingdom company ("BTI"), with respect to the share of Class B Common Stock beneficially owned by it as principal; (iii) BT Securities Corporation, a Delaware corporation ("BT Securities"), with respect to the shares of Class B Common Stock beneficially owned by it as principal; and (iv) Bankers Trust New York Corporation, a New York corporation ("BTNY"), with respect to the shares of Class B Common Stock beneficially owned by it as principal, and which as a parent of each of BTH, BTI and BT Securities may be deemed to be the indirect beneficial owner of the shares of Class B Common Stock owned by BTH, BTI and BT Securities. BTH is a wholly-owned subsidiary of BTNY. BTI is an indirect wholly-owned subsidiary of BTNY through other wholly-owned subsidiaries. BT Securities is a wholly-owned subsidiary of BTNY. Each of BTH, BTI, BTNY and BT Securities is referred to from time to time as a "Purchaser". Attached hereto as Annex A is a chart showing the ownership relationship among the Purchasers. BTNY is a registered bank holding company. The principal business of BTH is to hold investments for BTNY. The principal business of BTI is as a United Kingdom bank. The principal business of BT Securities is as a broker- dealer. The address of the principal business and principal office of BTH and BT Securities is 130 Liberty Street, New York, New York 10006. The address of the principal business and principal office of BTNY is 280 Park Avenue, New York, New York 10017. The address of the principal business and principal office of BTI is 1 Appold Street, Broadgate, London, EC2A 2HE. The name, citizenship, business or residence address, principal occupation or employment, and name, principal business and address of any corporation or organization in which such employment is conducted of each director and executive officer of each Purchaser is set forth in Annex B attached hereto and incorporated into this Item 2 by reference. Items 2(d) and (e). ------------------ 6 of 24 Except as disclosed in Annex C hereto, no Purchaser, or, to the knowledge of any Purchaser, any of the persons identified in Annex B, have during the past five years been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. BTH acquired the 235,200 shares of Class B Common Stock reported herein as principal, using its working capital to acquire such shares of Class B Common Stock. BTI acquired the 1 share of Class B Common Stock reported herein as principal, using its working capital to acquire such shares of Class B Common Stock. BT Securities acquired the 7,529 shares of Class B Common Stock reported herein as principal, using its working capital to acquire such shares of Class B Common Stock. BTNY acquired the 427,669 shares of Class B Common Stock reported herein as principal, using its working capital to acquire such shares of Class B Common Stock. ITEM 4. PURPOSE OF TRANSACTION. The Purchasers have acquired the shares of Class B Common Stock reported herein for investment purposes. See also Item 6. As of the date of this Statement on Schedule 13D, none of the Purchasers has any present plans or proposals which relate to or would result in the events described in parts (a) through (j) of Item 4 of Schedule 13D. The Purchasers expect to evaluate on an ongoing basis the Issuer's financial condition and prospects and their respective interests in, and intentions with respect to, the Issuer. Each of the Purchasers reserves the right to change its plans and intentions at any time, as it deems appropriate. In particular, each of the Purchasers may at any time and from time to time acquire additional shares of Class B Common Stock or securities convertible or exchangeable for Class B Common Stock and may dispose of shares of Class B Common Stock. Any such transactions may be effected at any time and from time to time. To the knowledge of the Purchasers, each of the persons listed on Annex B hereto may make the same evaluation and may have the same reservations. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. 7 of 24 (a) BTH beneficially owns 235,200 shares of Class B Common Stock as principal, constituting 2.21% of the issued and outstanding shares of Class B Common Stock of the Issuer. BTI beneficially owns 1 share of Class B Common Stock as principal. BT Securities beneficially owns 7,529 shares of Class B Common Stock as principal, constituting .07% of the issued and outstanding shares of Class B Common Stock. BTNY beneficially owns 427,669 shares of Class B Common Stock as principal, constituting 4.03% of the issued and outstanding shares of Class B Common Stock. As a parent of each of the Purchasers, BTNY also may be deemed to be the indirect beneficial owner of the shares of Class B Common Stock owned by each of the other Purchasers. To the best knowledge and belief of the Purchasers, none of the persons listed on Annex B hereto beneficially owns any shares of Class B Common Stock. (b) Each Purchaser has sole power to vote and dispose of the shares of Class B Common Stock beneficially owned by it. (c) Annex D hereto sets forth all transactions in shares of Class B Common Stock that were effected during the past sixty days by the persons referred to in paragraph (a). (d) No person other than the persons described in paragraph (a) has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Class B Common Stock beneficially owned by it. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. In connection with a recapitalization of the Issuer in May 1996, the Issuer issued its Senior Subordinated Notes (the "Notes") in the aggregate principal amount of $575 million. The Notes were offered and sold in an underwritten public offering in which BT Securities acted as as one of the underwriters. BT Securities makes a market in the Notes as of the date hereof. Bankers Trust Company, a direct subsidiary of BTNY and the parent of BTI ("BTCo."), and Chase Manhattan arranged for a term loan and working capital facility in an aggregate of $995 million (the "Credit Facility") for the Issuer in connection with the recapitalization of the Issuer. BTCo. is the administrative agent of and a lender under the Credit Facility. The credit agreement contains various affirmative and negative covenants which restrict the Issuer's 8 of 24 business and operations, including the payment of dividends, the acquisition and issuance of equity securities and mergers, consolidations, and sales or other dispositions of assets. BTNY and certain of its affiliates, in the ordinary course of its business, have purchased some of the shares of the Class B Common Stock included in the aggregate securities described in this filing as part of its hedging strategy involving certain cash settled client derivative transactions. None of these derivative transactions give the counterparty the power to direct the vote or the power to direct the disposition of any of the shares of the Class B Common Stock that are beneficially owned by BTNY. No Purchaser is a party to any other contract, arrangement, understanding or relationship involving the shares of Class B Common Stock or other securities of the Issuer. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. 7.01. Joint filing statement pursuant to Rule 13d-1(f)(1). 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. Date: September 27, 1996 Signature: BANKERS TRUST NEW YORK CORPORATION By: s/ James T. Byrne, Jr. ---------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President 9 of 24 ANNEX A BANKERS TRUST NEW YORK CORPORATION Owns 100% of Owns 100% of Owns 100% of BT Securities Corporation Bankers Trust Company BT Holdings (New York), Inc. Owns 100% of Bankers International Corporation Owns 100% of BT Holdings (Europe) Ltd. Owns 100% of BT Holdings (UK) Ltd. Owns 100% of Bankers Trust International plc 10 of 24 ANNEX B BANKERS TRUST NEW YORK CORPORATION The following sets forth the name, mailing address, occupation or principal business affiliation and citizenship of each director and executive officer of BTNY. To the best knowledge and belief of BTNY, none of the following persons beneficially owns any shares of Class B Common Stock.
Occupation or Principal Name and Mail Address Business Affiliation Citizenship - --------------------- -------------------- ----------- DIRECTORS --------- George B. Beitzel Retired Senior Vice President and U.S. 29 King Street Director Chappaqua, NY 10514-3432 International Business Machines Corporation Phillip A. Griffiths Chairman U.S. Institute for Advanced Study Institute for Advanced Study Olden Lane Princeton, NJ 08540 William R. Howell Chairman of the Board U.S. J.C. Penney Company, Inc. J.C. Penney Company, Inc. P.O. Box 10001 Dallas, TX 75301-0001 Jon M. Huntsman Chairman and Chief Executive Officer U.S. Huntsman Corporation Huntsman Chemical Corporation 500 Huntsman Way Salt Lake City, UT 84108 Vernon E. Jordan, Jr. Senior Partner U.S. Akin, Gump, Strauss, Hauer & Feld, Akin, Gump, Strauss, Hauer & Feld, LLP LLP 1333 New Hampshire Avenue, N.W. Suite 400 Washington D.C. 20036
11 of 24
Hamish Maxwell Retired Chairman and Chief Executive U.S. Philip Morris Companies, Inc. Officer 100 Park Avenue Philip Morris Companies Inc. New York, NY 10017 Frank N. Newman Chairman of the Board and Chief U.S. Bankers Trust Company Executive Officer and President 130 Liberty Street Bankers Trust Company; New York, NY 10006 Chairman of the Board and Chief Executive Officer and President Bankers Trust New York Corporation N.J. Nicholas Jr. Investor U.S. 15 West 53rd Street, #34F New York, NY 10019 Russell E. Palmer Chairman and Chief Executive Officer U.S. The Palmer Group The Palmer Group 3600 Market Street Suite 530 Philadelphia, PA 19104 Donald L. Staheli Chairman and Chief Executive Officer U.S. Continental Grain Company United States Continental Grain Company 277 Park Avenue, 50th Floor New York, NY 10172 Patricia Carry Stewart Former Vice President U.S. Bankers Trust Company The Edna McConnell Clark Foundation c/o Office of the Secretary 130 Liberty Street New York, NY 10006 George J. Vojta Vice Chairman U.S. Bankers Trust Company Bankers Trust Company and 130 Liberty Street Bankers Trust New York Corporation New York, NY 10006 Paul A. Volcker Former Chairman U.S. 599 Lexington Avenue, 40th Floor Wolfensohn & Co., Inc. New York, New York 10022 EXECUTIVE OFFICERS ------------------ Geoffrey M. Fletcher Managing Director and Principal U.S. Bankers Trust Company Accounting Officer 130 Liberty Street Bankers Trust Company; New York, NY 10006 Senior Vice President and Principal Accounting Officer Bankers Trust New York Corporation
12 of 24 Joseph A. Manganello, Jr. Managing Director and Chief Credit U.S. Bankers Trust Company Officer 130 Liberty Street Bankers Trust Company; New York, NY 10006 Executive Vice President and Chief Credit Officer Bankers Trust New York Corporation Richard H. Daniel Managing Director, Chief Financial U.S. Bankers Trust Company Officer and Controller 130 Liberty Street Bankers Trust Company; New York, NY 10006 Executive Vice President, Chief Financial Officer and Controller Bankers Trust New York Corporation Melvin A. Yellin Managing Director and General Counsel U.S. Bankers Trust Company Bankers Trust Company; 130 Liberty Street Executive Vice President and General New York, NY 10006 Counsel Bankers Trust New York Corporation Mark Bieler Managing Director U.S. Bankers Trust Company Bankers Trust Company; 130 Liberty Street Executive Vice President New York, NY 10006 Bankers Trust New York Corporation Christian Marie Yves De Balmann Chairman U.S., France Bankers Trust Company Bankers Trust International PLC; 1 Appold Street Managing Director Broadgate, 4th Floor Bankers Trust Company; London, EC2A 2HE Senior Vice President Bankers Trust New York Corporation R. Kelly Doherty Managing Director U.S. Bankers Trust Company Bankers Trust Company; 130 Liberty Street Senior Vice President New York, NY 10006 Bankers Trust New York Corporation Robert A. Ferguson Executive Vice President Australia Bankers Trust Australia Limited Bankers Trust Australia Limited; Level 15, The Chifley Tower Managing Director 2 Chifley Square Bankers Trust Company; Sydney, N.S.W. 2000 Senior Vice President Australia Bankers Trust New York Corporation Alexander P. Frick Managing Director U.S. Bankers Trust Company Bankers Trust Company; 130 Liberty Street Senior Vice President New York, NY 10006 Bankers Trust New York Corporation
13 of 24 B.J. Kingdon Managing Director U.S. Bankers Trust Company Bankers Trust Company; 130 Liberty Street Senior Vice President New York, NY 10006 Bankers Trust New York Corporation Ian Martin Executive Vice President Australia Bankers Trust Australia Limited Bankers Trust Australia Limited; Level 15, The Chifley Tower Senior Vice President 2 Chifley Square Bankers Trust New York Corporation Sydney, N.S.W. 2000 Australia Rodney A. McLauchlan Managing Director U.S. BT Securities Corporation BT Securities Corporation; 130 Liberty Street Senior Vice President New York, NY 10006 Bankers Trust New York Corporation Timothy S. Rattray Managing Director U.S. Bankers Trust Company Bankers Trust Company; Two Pacific Place Senior Vice President 36th Floor Bankers Trust New York Corporation 88 Queensway Hong Kong J. Edward Virtue Managing Director U.S. BT Securities Corporation BT Securities Corporation; 130 Liberty Street Senior Vice President New York, NY 10006 Bankers Trust New York Corporation
14 of 24 BANKERS TRUST INTERNATIONAL PLC The following sets forth the name, mailing address, occupation or principal business affiliation and citizenship of each director and executive officer of BTI. To the best knowledge and belief of BTI, none of the following persons beneficially owns any shares of Class B Common Stock.
Name and Mail Address Occupation or Principal Citizenship - --------------------- Business Affiliation ----------- -------------------- Christian Marie Yves Chairman; U.S., France De Balmann Managing Director Bankers Trust Company Bankers Trust Company; 1 Appold Street Senior Vice President Broadgate, 4th Floor Bankers Trust New York Corporation London, EC2A 2HE Philippe Souviron Vice Chairman, France Bankers Trust Company Head of Client Coverage Europe and 1 Appold Street European County Management Broadgate, 4th Floor London, EC2A 2HE Brian R. Cook President and Chief Operating Officer, U.K. Bankers Trust Company Executive Director, Head of Global 1 Appold Street Network Management and Control, Head Broadgate, 4th Floor of Global Real Estate and Security London, EC2A 2HE Achilles O. Macris Executive Director, Head of FX Client U.S. Bankers Trust Company Trading Services 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Stephen J. Harper Executive Director, Head of Financial Canada Bankers Trust Company Institutions Merchant Bank (Canadian) 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE
15 of 24 Yoav Tamir Executive Director, Head of Market Risk Israel Bankers Trust Company London 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Nicholas C. Riley Executive Director, Head of Financial U.K. Bankers Trust Company Services Ops. London 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Paul D. Smith Executive Director, Head of Product U.S. Bankers Trust Company Control, Investment Banking & Risk 1 Appold Street Management Broadgate, 4th Floor London, EC2A 2HE Alan Greatbatch Executive Director, Compliance Officer, U.K. Bankers Trust Company Head of Compliance Europe 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Nicholas D. Harrison Executive Director, Global Network U.K. Bankers Trust Company Management and Control Europe 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Andrew M. Graham Executive Director, Controller, U.K. Bankers Trust Company Controller Europe 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE Matthew J. Hale Executive Director, Treasury Europe U.K. Bankers Trust Company 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE William G. Ronai Executive Director, Credit Europe U.S. Bankers Trust Company 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE
16 of 24 Graham Clempson Executive Director, Head of Structured U.K. Bankers Trust Company Finance, London 1 Appold Street Broadgate, 4th Floor London, EC2A 2HE
17 of 24 BT SECURITIES CORPORATION The following sets forth the name, mailing address, occupation or principal business affiliation and citizenship of each director and executive officer of BT Securities. To the best knowledge and belief of BT Securities, none of the following persons beneficially owns any shares of Class B Common Stock.
Name and Mailing Address Occupation or Principal Citizenship - ------------------------ Business Affiliation ----------- -------------------- DIRECTORS --------- Howard M. Schneider President and CEO U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 Marie Bitetti Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 Geralyn A. Fitzgerald Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 Kevin R. Flach Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 David W. Gittings Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation Liberty Street New York, New York 10006 Richard M. Gunthel Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 John P. Hardt Director, Vice President, U.S. BT Securities Corporation Treasurer 130 Liberty Street BT Securities Corporation New York, New York 10006
18 of 24 Terence J. Mogan Director, Managing U.S. BT Securities Corporation Director, 130 Liberty Street Chief Credit Officer New York, New York 10006 BT Securities Corporation Thomas Quane Director, Managing U.S. BT Securities Corporation Director, 130 Liberty Street Controller New York, New York 10006 BT Securities Corporation Peter D. Scutt Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 James E. Virtue Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006 Frank Vulpi Director, Managing U.S. BT Securities Corporation Director, 130 Liberty Street Chief Operating Officer New York, New York 10006 BT Securities Corporation John R. Zacamy Director, Managing Director U.S. BT Securities Corporation BT Securities Corporation 130 Liberty Street New York, New York 10006
19 of 24 BT HOLDINGS (NEW YORK), INC. The following sets forth the name, mailing address, occupation or principal business affiliation and citizenship of each director and executive officer of BT Holdings (New York), Inc. To the best knowledge and belief of BT Holdings (New York), Inc., none of the following persons beneficially owns any shares of Class B Common Stock.
Name and Mailing Address Occupation or Principal Citizenship - ------------------------ Business Affiliation ----------- -------------------- DIRECTORS --------- Duncan P. Hennes Executive Vice President, U.S. Bankers Trust Company Treasurer and Director BT 130 Liberty Street Holdings, Inc.; New York, New York 10006 Senior Vice President, Bankers Trust New York Corporation Garret G. Thunen President and Director, U.S. Bankers Trust Company BT Holdings (New York), Inc.; 130 Liberty Street Treasurer, Bankers Trust New New York, New York 10006 York Corporation Andrej J. Rojek Director, BT Holdings (New U.S. Bankers Trust Company York), Inc.; 130 Liberty Street Managing Director, New York, New York 10006 BT Securities Corporation Mannuel J. Schnaidman Vice President and Director, U.S. Bankers Trust Company BT 130 Liberty Street Holdings (New York), Inc. New York, New York 10006 Vice President, Bankers Trust New York Corporation
20 of 24 ANNEX C BTNY and BT Securities Corporation are subject to a Written Agreement, dated December 4, 1994 (the "Written Agreement"), with the Federal Reserve Bank of New York and a Memorandum of Understanding, dated December 21, 1994 (the "Memorandum"), with the New York State Banking Department. The Written Agreement and Memorandum are described in BTNY's Forms 8-K, dated December 4, 1994 and January 19, 1994, respectively. These Forms 8-K are hereby incorporated by reference into this Annex C. BT Securities is also subject to an Order, dated December 22, 1994, of the Securities and Exchange Commission and an Order dated December 22, 1994, of the Commodity Futures Trading Commission. These Orders are included in and described in BTNY's Form 8-K, dated December 22, 1994. This Form 8-K is hereby incorporated by reference into this Annex C. 21 of 24 ANNEX D Except as set forth below, none of BTH, BTNY, BTI or BT Securities had any transactions in shares of Common Stock within the last 60 days. BTH had the following transactions in shares of Common Stock during the sixty days prior to the filing of this Schedule 13D. All of such transactions were made in the open market and for cash.
- ------------------------------------------ Trade Date Transaction Quantity Price - ---------- ----------- -------- ----- - ------------------------------------------ 31-Jul-96 Purchase 1 27.50 - ------------------------------------------ 17-Sep-96 Purchase 21500 27.00 - ------------------------------------------ 18-Sep-96 Purchase 13500 26.75 - ------------------------------------------ 19-Sep-96 Purchase 8600 27.00 - ------------------------------------------ 20-Sep-96 Purchase 56200 26.55 - ------------------------------------------
22 of 24 EXHIBIT INDEX DOCUMENT PAGE IN THIS - -------- STATEMENT ------------- 7.01. Joint filing statement pursuant to Rule 13d-1(f)(1). 23 23 of 24 EX-7.01 2 JOINT FILING STATEMENT EXHIBIT 7.01 JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), each of the undersigned hereby consents to the joint filing of a statement on Schedule 13D with respect to shares of Class B Common Stock, $0.01 par value, of Smith's Food & Drug Centers, Inc., on behalf of each of them. Date: September 27, 1996 Signature: BANKERS TRUST NEW YORK CORPORATION By: /s/ James T. Byrne, Jr. ---------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President Signature: BT HOLDINGS (NEW YORK), INC. By: /s/ Mannuel J. Schnaidman ---------------------------- Name: Mannuel J. Schnaidman Title: Vice President Signature: BANKERS TRUST COMPANY By: /s/ James T. Byrne, Jr. ---------------------------- Name: James T. Byrne, Jr. Title: Senior Vice President Signature: BANKERS TRUST INTERNATIONAL PLC By: /s/ James T. Byrne Jr. ---------------------------- Name: James T. Byrne, Jr. Title: Attorney-in-fact Signature: BT SECURITIES CORPORATION By: /s/ Thomas Quane ---------------------------- Name: Thomas Quane Title: Controller 24 of 24 -----END PRIVACY-ENHANCED MESSAGE-----