-----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, VnWmk2VjAIitMOhEq36YeLwoKel/VRJ230U1RxOVGEQSs7l5dzyHECzFKpwTrbqp EU+ZTZoduARKbQZCvmdoVw== 0001047469-99-005978.txt : 19990217 0001047469-99-005978.hdr.sgml : 19990217 ACCESSION NUMBER: 0001047469-99-005978 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: BARCLAYS BANK PLC GROUP MEMBERS: BARCLAYS FUNDS LIMITED GROUP MEMBERS: BARCLAYS GLOBAL INVESTORS, LTD GROUP MEMBERS: BARCLAYS GLOBALL FUND ADVISORS GROUP MEMBERS: BARCLAYS LIFE ASSURANCE COMPANY LIMITED GROUP MEMBERS: BZW BARCLAYS GLOBAL INVESTORS NA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRICON GLOBAL RESTAURANTS INC CENTRAL INDEX KEY: 0001041061 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 933951308 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52175 FILM NUMBER: 99540469 BUSINESS ADDRESS: STREET 1: 1900 COLONEL SANDERS LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 BUSINESS PHONE: 5028748300 MAIL ADDRESS: STREET 1: 1900 COLONEL SANDERS LANE CITY: LOUISVILLE STATE: KY ZIP: 40213 FORMER COMPANY: FORMER CONFORMED NAME: GREAT AMERICAN RESTAURANT CO DATE OF NAME CHANGE: 19970618 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BZW BARCLAYS GLOBAL INVESTORS NA CENTRAL INDEX KEY: 0000913414 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 943112180 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 45 FREMONT ST 17TH FL CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 4155972639 MAIL ADDRESS: STREET 1: 45 FREMONT ST CITY: SAN FRANCISCO STATE: CA ZIP: 94105 SC 13G 1 SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Tricon Global Restaurants (Name of Issuer) Common Stock (Title of Class of Securities) 895953107 (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing 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.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 CUSIP No. 895953107 13G Page 2 (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Bank PLC (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom Number of Shares (5) SOLE VOTING POWER Beneficially Owned 103,400 by Each Reporting (6) SHARED VOTING POWER Person With 22,553 (7) SOLE DISPOSITIVE POWER 125,953 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 125,953 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 895953107 13G Page 2A (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Funds Limited (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom Number of Shares (5) SOLE VOTING POWER Beneficially Owned 24,493 by Each Reporting (6) SHARED VOTING POWER Person With 0 (7) SOLE DISPOSITIVE POWER 24,493 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,493 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 895953107 13G Page 2B (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Global Investors, LTD. (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom Number of Shares (5) SOLE VOTING POWER Beneficially Owned 310,958 by Each Reporting (6) SHARED VOTING POWER Person With 0 (7) SOLE DISPOSITIVE POWER 323,188 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 323,188 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 895953107 13G Page 2C (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Life Assurance Company Limited (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom Number of Shares (5) SOLE VOTING POWER Beneficially Owned 18,100 by Each Reporting (6) SHARED VOTING POWER Person With 0 (7) SOLE DISPOSITIVE POWER 18,100 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 18,100 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 895953107 13G Page 2D (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Global Investors, N.A., 943112180 (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. Number of Shares (5) SOLE VOTING POWER Beneficially Owned 6,187,036 by Each Reporting (6) SHARED VOTING POWER Person With 519 (7) SOLE DISPOSITIVE POWER 6,856,129 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,856,129 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 895953107 13G Page 2E (1) NAMES OF REPORTING PERSONS. S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barclays Global Fund Advisors (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) X (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. Number of Shares (5) SOLE VOTING POWER Beneficially Owned 305,314 by Each Reporting (6) SHARED VOTING POWER Person With 0 (7) SOLE DISPOSITIVE POWER 305,614 (8) SHARED DISPOSITIVE POWER 0 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 305,614 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% (12) TYPE OF REPORTING PERSON* BK *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Bank, PLC . ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 54 Lombard Street London England EC3P 3AH ITEM 2(C). CITIZENSHIP United Kingdom ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 3A ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Funds Limited ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE Fleetway House, 25 Farringdon Street London, England EC4A 4JA ITEM 2(C). CITIZENSHIP United Kingdom ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 3B ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Global Investors, LTD ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 1 Swan Lane London, England EC4R 3UD ITEM 2(C). CITIZENSHIP United Kingdom ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 3C ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Life Assurance Company Ltd. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 5th Floor Unicorn House 252 Romford Road, Forest Gate London E7 9JB ITEM 2(C). CITIZENSHIP United Kingdom ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 3D ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Global Investors, N.A. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 45 Fremont Street San Francisco, CA 94105 ITEM 2(C). CITIZENSHIP U.S.A ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 3E ITEM 1(A). NAME OF ISSUER Tricon Global Restaurants ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1441 Gardiner Lane Louisville, KY 40213 ITEM 2(A). NAME OF PERSON(S) FILING Barclays Global Fund Advisors ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 45 Fremont Street San Francisco, CA 94105 ITEM 2(C). CITIZENSHIP U.S.A ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 895953107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act (b)/X/ Bank as defined in section 3(a) (6) of the Act (c) // Insurance Company as defined in section 3(a) (19) of the Act (d) // Investment Company registered under section 8 of the Investment Company Act (e) // Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) // Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b) (1) (ii)(F) (g) // Parent Holding Company, in accordance with Rule 13d-1(b) (ii) (G) (Note:See Item 7) (h) // Group, in accordance with Rule 13d-1(b) (1) (ii) (H) Page 4 ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 7,653,477 (b) Percent of Class: 5.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 6,949,301 (ii) shared power to vote or to direct the vote 23,072 (iii) sole power to dispose or to direct the disposition of 7,653,477 (iv) shared power to dispose or to direct the disposition of 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS if this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. // Not applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON The shares reported are held by the company in trust accounts for the economic benefit of the beneficiaries of those accounts. See also Items 2(a) above. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON 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 Page 5 ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. February 12, 1999 Wendy Beller Manager of Compliance -----END PRIVACY-ENHANCED MESSAGE-----