-----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, CTXRRy0uabDfnpvwWrn0lNbNpa9br5BrWKI78J2K8/WVX6ruwWyYwngLihntVqlT RbgXLyZg09C+HZF162VIBQ== 0000927016-97-000429.txt : 19970222 0000927016-97-000429.hdr.sgml : 19970222 ACCESSION NUMBER: 0000927016-97-000429 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD GROUP MEMBERS: ROBERT G. HUCKINS, ESQ. GROUP MEMBERS: UNITED NATURAL FOODS INC EMPLOYEE STOCK OWNERSHIP TRUST 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: 97533749 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: UNITED NATURAL FOODS INC EMPLOYEE STOCK OWNERSHIP TRUST CENTRAL INDEX KEY: 0001031763 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE CITIZENS PLZ STREET 2: SUITE 600 CITY: PROVIDENCE STATE: RI ZIP: 02093 BUSINESS PHONE: 4012765940 MAIL ADDRESS: STREET 1: ONE CITIZENS PLZ STREET 2: SUITE 600 CITY: PROVIDENCE STATE: RI ZIP: 02903 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 9 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons United Natural Foods, Inc. Employee Stock Ownership Trust (the "ESOT") 06-1473228 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization Connecticut ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 2,179,595 Shares (Participants in the United Natural Foods, Inc. Employee Stock Ownership Plan ("ESOP") have the right to direct the voting of shares held by the ESOT which are allocated to their accounts under the ESOP. The Trustee of the ESOT votes unallocated shares and allocated shares for which no instructions have been received in proportion to the directions received for the allocated shares). CUSIP No. 911163 10 3 Page 3 of 9 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 2,179,595 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 0 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 2,179,595 shares. The ESOT disclaims beneficial ownership of such shares to the extent that the beneficial ownership of the shares is attributable to participants in the ESOP. ____________________________________________________________________________ 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. 17.6% ____________________________________________________________________________ 12. Type of Reporting Person. EP ____________________________________________________________________________ SCHEDULE 13G CUSIP No. 911163 10 3 Page 4 of 9 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Robert G. Huckins, Esq. (Trustee of the ESOT) ###-##-#### ____________________________________________________________________________ 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 2,179,595 Shares (Participants in the ESOP have the right to direct the voting of shares held by the ESOT which are allocated to their accounts under the ESOP. The Trustee of the ESOT votes unallocated shares and allocated shares for which no instructions have been received in proportion to the directions received for the allocated shares. No participant in the ESOP has the individual ability to control the voting of shares held by the ESOT which CUSIP No. 911163 10 3 Page 5 of 9 ----------- constitute 5% or more of the outstanding shares of the common stock of United Natural Foods, Inc.) ____________________________________________________________________________ 7. Sole Dispositive Power 2,179,595 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 0 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. Mr. Huckins is the Trustee of the ESOT. Mr. Huckins does not have a beneficial ownership interest in any of the shares held by the ESOT and accordingly disclaims beneficial ownership of all 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. 17.6% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 6 of 9 ----------- 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: - ---------------------------------- United Natural Foods, Inc. Employee Stock Ownership Trust on its own behalf and on behalf of its trustee, Robert G. Huckins, Esq. Item 2(b). Address of Principal Business Office or, if None, Residence: - ------------------------------------------------- c/o Robert G. Huckins, Esq. Smith Barney, Inc. One Citizens Plaza Suite 600 Providence, R.I. 02903 Item 2(c). Citizenship: - ------------------------ The United Natural Foods, Inc. Employee Stock Ownership Trust is a trust established under the laws of the State of Connecticut. Mr. Huckins is a citizen of the United States of America. Item 2(d). Title of Class of Securities: - ----------------------------------------- Common Stock, $.01 par value per share CUSIP No. 911163 10 3 Page 7 of 9 ----------- Item 2(e). CUSIP Number: - ------------------------- 911163 10 3 Item 3: - ------- Not Applicable Item 4. Ownership: - ------------------- (a) Amount Beneficially Owned: The 2,179,595 shares are held by the United Natural Foods, Inc. Employee Stock Ownership Trust ("ESOT"). Mr. Robert G. Huckins, Esq. is the Trustee of the ESOT. Mr. Huckins does not have a beneficial ownership interest in any of the shares held by the ESOT and accordingly disclaims beneficial ownership of all such shares. The ESOT disclaims beneficial ownership of such shares to the extent that the beneficial ownership of the shares is attributable to participants in the ESOP. (b) Percent of Class: 17.6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Mr. Huckins has sole power to direct the vote of 0 Shares; (ii) shared power to vote or to direct the vote: 2,179,595 Shares (Participants in the United Natural Foods, Inc. Employee Stock Ownership Plan ("ESOP") have the right to direct the voting of shares held by the ESOT which are allocated to their accounts under the ESOP. The Trustee of the ESOT votes unallocated shares and allocated shares for which no instructions have been received in proportion to the directions received for the allocated shares.); (iii) sole power to dispose or to direct the disposition of: CUSIP No. 911163 10 3 Page 8 of 9 ----------- Mr. Huckins, as trustee of the ESOT, has the sole power to dispose of the 2,179,595 Shares held by the ESOT; (iv) shared power to dispose or to direct the disposition of: Mr. Huckins shares power to dispose of 0 shares. Item 5. Ownership of Five Percent or Less of a Class: - ------------------------------------------------------ Not Applicable Item 6. Ownership of More Than Five Percent on Behalf of Another Person: - ------------------------------------------------------------------------- The 2,179,595 shares are held by the United Natural Foods, Inc. Employee Stock Ownership Trust ("ESOT"). Mr. Robert G. Huckins, Esq. is the Trustee of the ESOT. Mr. Huckins does not have a beneficial ownership interest in any of the shares held by the ESOT and accordingly disclaims beneficial ownership of all such shares. Participants in the ESOP are eligible to receive the shares held by the ESOT and allocated to their participant accounts under the ESOP, to the extent that their rights to such shares have vested, upon terminating their employment with United Natural Foods, Inc. All participants in the ESOP disclaim beneficial ownership of the shares held by the ESOT except to the extent of their proportionate pecuniary interest therein. The ESOT disclaims beneficial ownership of such shares to the extent that the beneficial ownership of the shares is attributable to participants in the ESOP. 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 9 of 9 ----------- 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/ Robert G. Huckins ------------------------------- Robert G. Huckins, Esq. individually February 10, 1997 ---------------------------------- Date United Natural Foods, Inc. Employee Stock Ownership Trust By: /s/ Robert G. Huckins ------------------------------- Robert G. Huckins, Esq. Its Trustee February 10, 1997 ---------------------------------- Date -----END PRIVACY-ENHANCED MESSAGE-----