-----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, Cpd4r/Mr6+uc5lbHXgnFyuQZqz1ePZ8/0lifWhNtLMQUDmFaMkxkl5V8PGsNZo+N pjpY7j/xjkOWoCKys+2M/A== 0001193125-04-210212.txt : 20041209 0001193125-04-210212.hdr.sgml : 20041209 20041209142234 ACCESSION NUMBER: 0001193125-04-210212 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041209 DATE AS OF CHANGE: 20041209 GROUP MEMBERS: ANDREW J. REDLEAF GROUP MEMBERS: GARY S. KOHLER GROUP MEMBERS: WHITEBOX INTERMARKET ADVISORS, LLC GROUP MEMBERS: WHITEBOX INTERMARKET FUND, L.P GROUP MEMBERS: WHITEBOX INTERMARKET FUND, LTD GROUP MEMBERS: WHITEBOX INTERMARKET PARTNERS, LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRANITE CITY FOOD & BREWERY LTD CENTRAL INDEX KEY: 0001048620 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 411883639 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59089 FILM NUMBER: 041192870 BUSINESS ADDRESS: STREET 1: 5831 CEDAR LAKE ROAD CITY: ST LOUIS PARK STATE: MN ZIP: 55416 BUSINESS PHONE: 6125252070 MAIL ADDRESS: STREET 1: 5831 CEDAR LAKE RD CITY: ST LOUIS PARK STATE: MN ZIP: 55416 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 IRS NUMBER: 411957584 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. CITY: MINNEAPOLIS STATE: MN ZIP: 55416 SC 13G/A 1 dsc13ga.htm AMENDMENT NO.1 TO SCHEDULE 13G Amendment No.1 to Schedule 13G

OMB APPROVAL

OMB Number:

    3235-0145

Expires:

    December 31, 2005

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

 

 

 

Granite City Food & Brewery Ltd.

(Name of Issuer)

 

 

Common Stock

(Title of Class of Securities)

 

 

38724Q107

                                (CUSIP Number)                                

 

 

November 4, 2004

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨ Rule 13d-1(b)

 

x Rule 13d-1(c)

 

¨ Rule 13d-1(d)

 

* 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 cover 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).

 

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Whitebox Advisors, LLC

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  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

 

  6    SHARED VOTING POWER

 

                646,153 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                0

 

  8    SHARED DISPOSITIVE POWER

 

                646,153 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            646,153 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            5.5%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IA

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 2 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Whitebox Intermarket Advisors, LLC

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  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

 

  6    SHARED VOTING POWER

 

                646,153 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                0

 

  8    SHARED DISPOSITIVE POWER

 

                646,153 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            646,153 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            5.5%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IA

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 3 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Whitebox Intermarket Partners, LP

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3  

SEC USE ONLY

 

 

 

    
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

            British Virgin Islands

    

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

 

  

  5    SOLE VOTING POWER

 

                0

 

  6    SHARED VOTING POWER

 

                646,153 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                0

 

  8    SHARED DISPOSITIVE POWER

 

                646,153 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            646,153 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            5.5%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IA

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 4 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Whitebox Intermarket Fund, L.P.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  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

 

  6    SHARED VOTING POWER

 

                646,153 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                0

 

  8    SHARED DISPOSITIVE POWER

 

                646,153 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            646,153 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            5.5%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IA

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 5 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Whitebox Intermarket Fund, Ltd.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

    
  3  

SEC USE ONLY

 

 

 

    
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

            British Virgin Islands

    

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

 

  

  5    SOLE VOTING POWER

 

                0

 

  6    SHARED VOTING POWER

 

                646,153 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                0

 

  8    SHARED DISPOSITIVE POWER

 

                646,153 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            646,153 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            5.5%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IA

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 6 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Andrew J. Redleaf

    
  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 States

    

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

 

  

  5    SOLE VOTING POWER

 

                254,802

 

  6    SHARED VOTING POWER

 

                900,955 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                254,802

 

  8    SHARED DISPOSITIVE POWER

 

                900,955 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            900,955 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            7.6%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IN

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 7 of 13

CUSIP No. 38724Q107   13G    

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

 

            Gary S. Kohler

    
  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 States

    

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

 

  

  5    SOLE VOTING POWER

 

                97,254

 

  6    SHARED VOTING POWER

 

                743,407 (see item 4(a))

 

  7    SOLE DISPOSITIVE POWER

 

                97,254

 

  8    SHARED DISPOSITIVE POWER

 

                743,407 (see item 4(a))

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

            743,407 (see item 4(a))

    
10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

            6.3%

    
12  

TYPE OF REPORTING PERSON*

 

 

            IN

    

 

*SEE INSTRUCTION BEFORE FILLING OUT!

 

Page 8 of 13

Item 1.

  

(a)

  

Name of Issuer

 

Granite City Food & Brewery Ltd. (the “Company”)

          
   

(b)

  

Address of Issuer’s Principal Executive Offices

 

5831 Cedar Lake Road

St. Louis Park, MN 55416

          

Item 2.

  

(a)

  

Name of Person Filing

 

This statement is filed by:

          
        (i)    Whitebox Advisors, LLC, a Delaware limited liability company (“WA”), with respect to the common stock beneficially owned by it;
        (ii)    Whitebox Intermarket Advisors, LLC, a Delaware limited liability company (“WIA”), with respect to the common stock beneficially owned by it;
        (iii)    Whitebox Intermarket Partners, L.P., a British Virgin Islands limited partnership (“WIPLP”), with respect to the common stock directly owned by it;
        (iv)    Whitebox Intermarket Fund, L.P., a Delaware limited partnership (“WIFLP”), with respect to the common stock indirectly owned by it;
        (v)    Whitebox Intermarket Fund, Ltd., a British Virgin Islands international business company (“WIFLTD”), with respect to the common stock indirectly owned by it;
        (vi)    Andrew J. Redleaf, a citizen of the United States, with respect to the common stock beneficially owned by him; and
        (vii)    Gary S. Kohler, a citizen of the United States, with respect to the common stock beneficially owned by him.
        The general partner of WIPLP is WIA, which manages accounts for the benefit of its clients WIPLP, WIFLP and WIFLTD. The managing member and controlling owner of WIA is WA. The sole managing member of WA is Mr. Redleaf. Mr. Kohler is a portfolio manager of WIPLP. Based on the relationships described herein, these entities and individuals may be deemed to constitute a “group” within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as an admission that WA, WIA, WIPLP, WIFLP, WIFLTD and Messrs. Redleaf and Kohler are a group, or have agreed to act as a group. Mr. Kohler and Mr. Redleaf, WA, WIA, WIPLP, WIFLP and WIFLTD each disclaim beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares.
   

(b)

  

Address of Principal Business Office or, if none, Residence

 

The address of the business office of WA, WIA and WIFLP, Mr. Redleaf and Mr. Kohler is:

 

3033 Excelsior Boulevard

Suite 300

Minneapolis, MN 55416

 

The address of the business office of WIPLP and WIFLTD is:

 

Trident Chambers, P.O. Box 146

Waterfront Drive, Wickhams Cay

Road Town, Tortola, British Virgin Islands

          

 

Page 9 of 13

   

(c)

   Citizenship          
        WA, WIA and WIFLP are organized under the laws of the State of Delaware; WIPLP and WIFLTD are organized under the laws of the British Virgin Islands; Messrs. Redleaf and Kohler are citizens of the United States.          
   

(d)

  

Title of Class of Securities

 

Common Stock

          
   

(e)

  

CUSIP Number

 

38724Q107

          

Item 3.

   If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:     
    (a)    ¨    Broker or dealer registered under section 15 of the Act.
    (b)    ¨    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 of 1940.
    (e)    ¨    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
    (f)    ¨    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
    (g)    ¨    A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
    (h)    ¨    A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
    (i)    ¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940.
    (j)    ¨    Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
Item 4.   Ownership     
    (a)        

Amount Beneficially Owned

 

WIPLP directly owns 646,153 shares of common stock, which includes (i) 461,538 shares of common stock, and (ii) 184,615 shares of common stock issuable upon exercise of warrants.

 

As a result of the relationship described in this statement, each of WA, WIA, WIFLP, WIFLTD and Messrs. Redleaf and Kohler may be deemed to possess indirect beneficial ownership of the shares of common stock held by WIPLP. Mr. Kohler and Mr. Redleaf, WA, WIA, WIPLP, WIFLP and WIFLTD each disclaim indirect beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares.

 

Mr. Redleaf directly owns 254,802 shares of common stock.

 

Mr. Kohler directly owns 77,254 shares of common stock and 20,000 shares of common stock issuable upon exercise of warrants.

 

Page 10 of 13

     (b)    Percent of Class          
          WA beneficially owns 5.5% of the Company’s common stock.
          WIA beneficially owns 5.5% of the Company’s common stock.
          WIPLP directly owns 5.5% of the Company’s common stock.
          WIFLP indirectly owns 5.5% of the Company’s common stock
          WIFLTD indirectly owns 5.5% of the Company’s common stock.
          Mr. Redleaf beneficially owns 7.6% of the Company’s common stock.
          Mr. Kohler beneficially owns 6.3% of the Company’s common stock.
          The percentage of common stock reportedly owned by each person herein is based on 11,601,061 shares of outstanding common stock of the Company, which is the total number of shares issued and outstanding on December 1, 2004, as provided by the Company on December 2, 2004.
     (c)    Number of shares as to which such person has:          
          (i)   

Sole power to vote or to direct the vote

 

Mr. Redleaf has sole power to vote 254,802 shares of the Company’s common stock directly owned by him.

 

Mr. Kohler has sole power to vote 97,254 shares of the Company’s common stock directly owned by him.

          (ii)   

Shared power to vote or to direct the vote

 

WA, WIA, WIPLP, WIFLP, WIFLTD and Messrs. Redleaf and Kohler have shared voting power with respect to 646,153 shares of the Company’s common stock.

          (iii)   

Sole power to dispose or to direct the disposition of

 

Mr. Redleaf has sole power to direct the disposition of 254,802 shares of the Company’s common stock directly owned by him.

 

Mr. Kohler has sole power to direct the disposition of 97,254 shares of the Company’s common stock directly owned by him.

          (iv)   

Shared power to dispose or to direct the disposition of

 

WA, WIA, WIPLP, WIFLP, WIFLTD and Messrs. Redleaf and Kohler have shared power to direct the disposition of 646,153 shares of the Company’s common stock.

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).

 

Page 11 of 13

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 ¨.
    

Instruction. Dissolution of a group requires a response to this item.

     

Item 6.

    Ownership of More than Five Percent on Behalf of Another Person.          
     Not Applicable

Item 7.

    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
     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          
     By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose 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.

 

December 9, 2004

Date

/s/    Jonathan D. Wood

Signature

Jonathan D. Wood as Chief Financial Officer of Whitebox Advisors, LLC, Whitebox Intermarket Advisors, LLC, Whitebox Intermarket Partners, L.P., Whitebox Intermarket Fund, L.P. and Whitebox Intermarket Fund, Ltd.

Name/Title

/s/    Andrew J. Redleaf

Andrew J. Redleaf

/s/    Gary S. Kohler

Gary S. Kohler

 

Page 12 of 13

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

 

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties for whom copies are to be sent.

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

 

Page 13 of 13

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