-----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, F7me9gIY2w6tS9hssj8H+GsdlfDnrEl8P5cD3yLGJq58KzTro8e6quSUbmG77MMv GsyHQqeTvpWIttXMGgN47w== 0000927016-97-000245.txt : 19970221 0000927016-97-000245.hdr.sgml : 19970221 ACCESSION NUMBER: 0000927016-97-000245 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970210 SROS: NASD GROUP MEMBERS: FUNK FAMILY 1992 REVOCABLE LIVING TRUST GROUP MEMBERS: FUNK MICHAEL S GROUP MEMBERS: JUDITH A. FUNK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED NATURAL FOODS INC CENTRAL INDEX KEY: 0001020859 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] IRS NUMBER: 050376157 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48855 FILM NUMBER: 97522740 BUSINESS ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 BUSINESS PHONE: 8607792800 MAIL ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FUNK MICHAEL S CENTRAL INDEX KEY: 0001031978 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 12745 EARHART DR CITY: AUBURN STATE: CA ZIP: 95602 BUSINESS PHONE: 9162650970 MAIL ADDRESS: STREET 1: 12745 EARHART DR CITY: AUBURN STATE: CA ZIP: 95602 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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. __) United Natural Foods, Inc. -------------------------- (Name of Issuer) Common Stock, $.01 par value per share -------------------------------------- (Title of Class of Securities) 911163 10 3 ----------- (CUSIP Number) SCHEDULE 13G CUSIP No. 911163 10 3 Page 2 of 12 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Michael S. Funk 575665495 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 84,110 shares. Includes 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options. Also includes 427 shares allocated to Mr. Funk's account under the United Natural Foods, Inc. Employee Stock Ownership Plan ("ESOP"). Mr. Funk controls the voting of the shares allocated to his ESOP account. ____________________________________________________________________________ 6. Shared Voting Power 3,213,100 shares (Consists of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. Funk is a co-trustee.) CUSIP No. 911163 10 3 Page 3 of 12 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 83,683 shares. Consists of 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options. ____________________________________________________________________________ 8. Shared Dispositive Power 3,213,100 shares (Consists of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. Funk is a co-trustee.) ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 3,297,210 shares (Composed of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. Funk is a co-trustee and a beneficiary, 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options and 427 shares allocated to Mr. Funk's account under the ESOP.) Mr. Funk disclaims beneficial ownership of the shares held by the Funk Family 1992 Revocable Living Trust except to the extent of his proportionate pecuniary interest in such shares. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 26.5% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 4 of 12 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Judith A. Funk ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 3,213,100 shares (Consists of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mrs. Funk is a co-trustee.) CUSIP No. 911163 10 3 Page 5 of 12 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 shares ____________________________________________________________________________ 8. Shared Dispositive Power 3,213,100 shares (Composed of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mrs. Funk is a co-trustee.) ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 3,213,100 shares (Composed of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mrs. Funk is a co-trustee and a beneficiary.) Mrs. Funk disclaims beneficial ownership of the shares held by the Funk Family 1992 Revocable Living Trust except to the extent of her proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 26.0% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 6 of 12 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Funk Family 1992 Revocable Living Trust 575665495 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization State of California ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 3,213,100 Shares (voting control of these shares is held by the co-trustees of the trust) ____________________________________________________________________________ 6. Shared Voting Power 0 shares CUSIP No. 911163 10 3 Page 7 of 12 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 3,213,100 shares (dispositive control of these shares is held by the co- trustees of the trust) ____________________________________________________________________________ 8. Shared Dispositive Power 0 shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 3,213,100 shares ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 26.0% ____________________________________________________________________________ 12. Type of Reporting Person. OO ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 8 of 12 ----------- SCHEDULE 13G Item 1(a). Name of Issuer: - --------------------------- United Natural Foods, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: - ------------------------------------------------------------ 260 Lake Road Dayville, Connecticut 06241 Item 2(a). Name of Person Filing: - ---------------------------------- Michael S. Funk for himself and on behalf of Judith A. Funk and the Funk Family 1992 Revocable Living Trust Item 2(b). Address of Principal Business Office or, if None, Residence: - ------------------------------------------------- c/o Mountain People's Warehouse Incorporated 12745 Earhart Avenue Auburn, CA 95602 Item 2(c). Citizenship: - ------------------------ Michael S. Funk and Judith A. Funk are citizens of the United States of America. The Funk Family 1992 Revocable Living Trust is a trust established under the laws of the State of California. Item 2(d). Title of Class of Securities: - ----------------------------------------- Common Stock, $.01 par value per share CUSIP No. 911163 10 3 Page 9 of 12 ----------- Item 2(e). CUSIP Number: - ------------------------- 911163 10 3 Item 3: - ------- Not Applicable Item 4. Ownership: - ------------------- (a) Amount Beneficially Owned: Michael Funk has an ownership interest in 3,297,210 shares (Composed of 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. Funk is a co-trustee and a beneficiary, 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options and 427 shares allocated to Mr. Funk's account under the ESOP.) Mr. Funk disclaims beneficial ownership of the shares held by the Funk Family 1992 Revocable Living Trust except to the extent of his proportionate pecuniary interest in such shares. Judith Funk has an ownership interest in the 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mrs. Funk is a co-trustee and a beneficiary. Mrs. Funk disclaims beneficial ownership of the shares held by the Funk Family 1992 Revocable Living Trust except to the extent of her proportionate pecuniary interest in such shares. (b) Percent of Class: Without excluding the portion of the shares held by the Funk Family 1992 Revocable Living Trust over which Mr. Funk disclaims beneficial ownership, Mr. Funk owns 26.5% of the issuer's common stock. Without excluding the portion of the shares held by the Funk Family 1992 Revocable Living Trust over which Mrs. Funk disclaims beneficial ownership, Mrs. Funk owns 26.0% of the issuer's common stock. CUSIP No. 911163 10 3 Page 10 of 12 ----------- The Funk Family 1992 Revocable Living Trust holds 26.0% of the issuer's common stock. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Mr. Funk has sole power to direct the vote of 84,110 shares. Includes 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options. Also includes 427 shares allocated to Mr. Funk's account under the United Natural Foods, Inc. Employee Stock Ownership Plan ("ESOP"). Mr. Funk controls the voting of the shares allocated to his ESOP account. Mrs. Funk has the sole power to direct the vote of 0 shares. (ii) shared power to vote or to direct the vote: Mr. and Mrs. Funk have shared voting control over the 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. and Mrs. Funk are the co-trustees. (iii) sole power to dispose or to direct the disposition of: Mr. Funk has sole dispositive power over 83,683 shares. These shares consist of 83,683 shares issuable within 60 days of December 31, 1996 upon the exercise of vested stock options. Mrs. Funk has sole dispositive power over 0 shares. (iv) shared power to dispose or to direct the disposition of: Mr. and Mrs. Funk share dispositive control over the 3,213,100 shares held by the Funk Family 1992 Revocable Living Trust, of which Mr. and Mrs. Funk are the two co-trustees. Item 5. Ownership of Five Percent or Less of a Class: - ------------------------------------------------------ Not Applicable CUSIP No. 911163 10 3 Page 11 of 12 ----------- Item 6. Ownership of More Than Five Percent on Behalf of Another Person: - ------------------------------------------------------------------------- 3,213,100 of the shares listed as beneficially owned by each of Michael Funk and Judith Funk are held by the Funk Family 1992 Revocable Living Trust, of which Mr. and Mrs. Funk are the co-trustees and are beneficiaries. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported by the Parent Holding Company: - ---------------------------------------------------------------------- Not Applicable Item 8. Identification and Classification of Members of the Group: - -------------------------------------------- Not Applicable Item 9. Notice of Dissolution of Group: - ---------------------------------------- Not Applicable Item 10. Certification: - ------------------------ Not Applicable CUSIP No. 911163 10 3 Page 12 of 12 ----------- 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. /s/ Michael S. Funk --------------------------------- Michael S. Funk February 10, 1997 Date /s/ Judith A. Funk ----------------------------------- Judith A. Funk February 10, 1997 Date The Funk Family 1992 Revocable Living Trust /s/ Michael S. Funk -------------------------------- By: Michael S. Funk Co-Trustee /s/ Judith A. Funk --------------------------------- By: Judith A. Funk Co-Trustee February 10, 1997 Date -----END PRIVACY-ENHANCED MESSAGE-----