-----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, W1F6+a/42yOK9yWJb+tqJqwJE+XmHL+nPguY4a5wh4YxpyhP3pLjSJXWN6hA+Ofd QtI1WqgWdZg+zEg2EWadjw== 0000927016-98-000557.txt : 19980217 0000927016-98-000557.hdr.sgml : 19980217 ACCESSION NUMBER: 0000927016-98-000557 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: E. MARK NOONAN GROUP MEMBERS: FREDERICK S. MOSELEY GROUP MEMBERS: FREDERICK W. MACCARTHY GROUP MEMBERS: JOHN M. CHAPMAN GROUP MEMBERS: RICHARD J. WILLIAMS GROUP MEMBERS: THOMAS W. JANES GROUP MEMBERS: TRIUMPH CAPITAL GROUP, INC GROUP MEMBERS: TRIUMPH CONNECTICUT LTD PARTNERSHIP GROUP MEMBERS: TRIUMPH-CONNECTICUT CAPITAL ADVISORS 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/A SEC ACT: SEC FILE NUMBER: 005-48855 FILM NUMBER: 98534763 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: TRIUMPH CONNECTICUT LTD PARTNERSHIP CENTRAL INDEX KEY: 0000923556 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175576000 MAIL ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 SC 13G/A 1 SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FIELD PURSUANT TO RULE 13d-2(b) (Amendment No. 1) 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 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Triumph-Connecticut Limited Partnership 04-3183699 - ---------------------------------------------------------------------------- 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 Connecticut - ---------------------------------------------------------------------------- Number of Shares Beneficially Owned By Each Reporting Person With: 5. Sole Voting Power 0 Shares - ---------------------------------------------------------------------------- 6. Shared Voting Power 665,730 Shares CUSIP No. 911163 10 3 Page 3 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 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 3.8 % - ---------------------------------------------------------------------------- 12. Type of Reporting Person PN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 4 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Triumph-Connecticut Capital Advisors Limited Partnership 04-3183698 - ---------------------------------------------------------------------------- 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 Delaware - ---------------------------------------------------------------------------- Number of Shares Beneficially Owned By Each Reporting Person With: 5. Sole Voting Power 0 Shares - ---------------------------------------------------------------------------- 6. Shared Voting Power 665,730 Shares CUSIP No. 911163 10 3 Page 5 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 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 3.8 % - ---------------------------------------------------------------------------- 12. Type of Reporting Person PN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 6 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Richard J. Williams - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 7 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 Shares (Consists of 665,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Williams is one of the seven general partners of Capital. Mr. Williams disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 8 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Frederick W. McCarthy - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 9 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital. Mr. McCarthy is one of the seven general partners of Capital. Mr. McCarthy disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 10 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Frederick S. Moseley - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 11 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital. Mr. Moseley is one of the seven general partners of Capital. Mr. Moseley disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 12 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) E. Mark Noonan - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 13 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital. Mr. Noonan is one of the seven general partners of Capital. Mr. Noonan disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 14 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Thomas W. Janes - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 15 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital). Mr. Janes is one of the seven general partners of Capital. Mr. Janes disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 16 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) John M. Chapman - ---------------------------------------------------------------------------- 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 665,730 Shares CUSIP No. 911163 10 3 Page 17 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital. Mr. Chapman is one of the seven general partners of Capital. Mr. Chapman disclaims beneficial ownership of these shares except to the extent of his 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person IN - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 18 of 26 ----------- - ---------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Number of Above Persons (Entities only) Triumph Capital Group, Inc. 04-3081875 - ---------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group - Not Applicable - ---------------------------------------------------------------------------- 3. SEC Use Only - ---------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - ---------------------------------------------------------------------------- Number of Shares Beneficially Owned By Each Reporting Person With: 5. Sole Voting Power 0 Shares - ---------------------------------------------------------------------------- 6. Shared Voting Power 665,730 Shares CUSIP No. 911163 10 3 Page 19 of 26 ----------- - ---------------------------------------------------------------------------- 7. Sole Dispositive Power 0 Shares - ---------------------------------------------------------------------------- 8. Shared Dispositive Power 665,730 Shares - ---------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 665,730 Shares (Consists of 665,730 Shares held by Triumph). The sole general partner of Triumph is Capital. Triumph Capital Group, Inc. is one of the seven general partners of Capital. Triumph Capital Group, Inc. disclaims beneficial ownership of these shares except to the extent of its proportionate pecuniary interest therein. Ownership of Triumph Capital Group, Inc. is held by the following three trusts: the Daniel A. McCarthy Trust 1990, the Frederick W. McCarthy III Trust 1990 and the Katherine E. McCarthy Trust 1990. The trustees of the Daniel A. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Daniel A. McCarthy is the sole beneficiary of the Daniel A. McCarthy Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Frederick W. McCarthy III Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Frederick W. McCarthy III is the sole beneficiary of the Frederick W. McCarthy III Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Katherine E. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Katherine E. McCarthy is the sole beneficiary of the Katherine E. McCarthy Trust 1990 and she disclaims beneficial ownership of CUSIP No. 911163 10 3 Page 20 of 26 ----------- all shares owned by such 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 3.8% - ---------------------------------------------------------------------------- 12. Type of Reporting Person CO - ---------------------------------------------------------------------------- CUSIP No. 911163 10 3 Page 21 of 26 ----------- 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: - ---------------------------------- Triumph-Connecticut Limited Partnership: Triumph-Connecticut Capital Advisors Limited Partnership; Richard J. Williams; Frederick W. McCarthy; Frederick S. Moseley; E. Mark Noonan; Thomas W. Janes; John M. Chapman; and Triumph Capital Group, Inc. Item 2(b). Address of Principal Business Office or, if None, Residence: - ------------------------------------------------- For all reporting persons the business address is: c/o Triumph-Connecticut Limited Partnership 60 State Street, 21st Floor Boston, Massachusetts 02109-1803 CUSIP No. 911163 10 3 Page 22 of 26 ----------- Item 2(c). Citizenship: - ------------------------ Triumph-Connecticut Limited Partnership is organized under the laws of the State of Connecticut. Triumph-Connecticut Capital Advisors Limited Partnership is organized under the laws of the State of Delaware. Each of Richard J. Williams, Frederick W. McCarthy, Frederick S. Moseley, E. Mark Noonan, Thomas W. Janes and John M. Chapman is a citizen of the United States of America. Triumph Capital Group, Inc. is incorporated under the laws of the State of Delaware. Item 2(d). Title of Class of Securities: - ----------------------------------------- Common Stock, $.01 par value per share Item 2(e). CUSIP Number: - ------------------------- 911163 10 3 Item 3. Identity of person filing pursuant to Rules 13d-1(b) or 13d-2(b): - -------------------------------------------------------------------------- Not Applicable Item 4. Ownership: - ------------------- Not Applicable CUSIP No. 911163 10 3 Page 23 of 26 ----------- Item 5. Ownership of Five Percent or Less of a Class: - ------------------------------------------------------ [X] Item 6. Ownership of More Than Five Percent on Behalf of Another Person: - ------------------------------------------------------------------------- Triumph holds 665,730 shares of the Company's common stock. The sole general partner of Triumph is Capital. The seven general partners of Capital are Richard J. Williams, Frederick W. McCarthy, Frederick S. Moseley, E. Mark Noonan, Thomas W. James, John M. Chapman and Triumph Capital Group, Inc. The managing general partner of Capital, who has voting and dispositive powers over the shares held by Triumph is Frederick W. McCarthy. The general partners of Capital disclaim beneficial ownership of the shares held by Triumph except to the extent of their proportionate pecuniary interest therein. Ownership of Triumph Capital Group, Inc. is held by the following three trusts: the Daniel A. McCarthy Trust 1990, the Frederick W. McCarthy III Trust 1990 and the Katherine E. McCarthy Trust 1990. The trusts hold their assets for the benefit of Daniel A. McCarthy, Frederick W. McCarthy III and Katherine E. McCarthy respectively, the beneficiaries of the respective trusts. CUSIP No. 911163 10 3 Page 24 of 26 ----------- 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 25 of 26 ----------- 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. Triumph-Connecticut Limited Partnership By: Triumph-Connecticut Capital Advisors Limited Partnership By: /s/ Frederick W. McCarthy -------------------------- Frederick W. McCarthy General Partner Date: February 11, 1998 /s/ Richard J. Williams ------------------------------- Richard J. Williams Date: February 11, 1998 /s/ Frederick W. McCarthy -------------------------------- Frederick W. McCarthy Date: February 11, 1998 /s/ Frederick S. Moseley -------------------------------- Frederick S. Moseley Date: February 11, 1998 /s/ E. Mark Noonan -------------------------------- E. Mark Noonan Date: February 10, 1998 /s/ Thomas W. Janes -------------------------------- Thomas W. Janes Date: February 11, 1998 /s/ John M. Chapman -------------------------------- John M. Chapman Date: February 11, 1998 CUSIP No. 911163 10 3 Page 26 of 26 ----------- Triumph Capital Group, Inc. /s/ Frederick W. McCarthy -------------------------------- By: Frederick W. McCarthy Its: -----END PRIVACY-ENHANCED MESSAGE-----