-----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, TXPaT6+XPuIOQA+gMUF2tOgbMI8G/DxOpP6S/GqtJzwEP2dVtdDlrtFaW0P9mZ8A S0rZEI/EkN+ayrr7oCuCbQ== 0000912057-02-004281.txt : 20020414 0000912057-02-004281.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-004281 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RUBIOS RESTAURANTS INC CENTRAL INDEX KEY: 0001082423 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 330100303 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57387 FILM NUMBER: 02529177 BUSINESS ADDRESS: STREET 1: 1902 WRIGHT PL STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 7609298226 MAIL ADDRESS: STREET 1: 1902 WRIGHT PL STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUBIO RALPH CENTRAL INDEX KEY: 0001106835 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1902 WRIGHT PLACE STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 7609298226 MAIL ADDRESS: STREET 1: 1902 WRIGHT PLACE STREET 2: STE 300 CITY: CARLSBAD STATE: CA ZIP: 92008 SC 13G/A 1 a2069806zsc13ga.htm SC 13G/A Prepared by MERRILL CORPORATION

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

Rubio’s Restaurants, Inc.

(Name of Issuer)

 

Common Stock, par value $0.001 per share

(Title of Class of Securities)

 

78116B102

(CUSIP Number)

 

June 15, 2001

(Date of Event Which Requires Filing of this Statement)

 

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

o Rule 13d-1(b)

o Rule 13d-1(c)

ý 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 disclosures provided in a prior cover page.

The information required on 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).

 

 

CUSIP NO. 78116B102

1.

 

Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

Ralph Rubio

 

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) o

(b) o

 

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
1,159,767(1)

 

6.

 

Shared Voting Power
—0—

 

7.

 

Sole Dispositive Power
1,159,767(1)

 

8.

 

Shared Dispositive Power
—0—

 

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

1,159,767(1)

 

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

 

Percent of Class Represented by Amount in Row (9)

13.0% as of December 30, 2001

 

12.

 

Type of Reporting Person (See Instructions)

IN

 

 

(1)           1,138,640 of the shares are held by Mr. Rubio in trust for the benefit of Mr. Rubio and his family; 16,960 of the shares are held by Mr. Rubio, as custodian for the benefit of his minor children; the remaining 4,167 shares represent options exercisable by Mr. Rubio within 60 days after December 30, 2001.

 

 

Item 1.

(a)                      Name of Issuer:  Rubio’s Restaurants, Inc.

(b)                     Address of Issuer’s Principal Executive Offices:  1902 Wright Place, Suite 300, Carlsbad, CA 92008.

Item 2.

(a)                      Name of Person Filing:  Ralph Rubio.

(b)                     Address of Principal Business Offices or, if none, Residence: 1902 Wright Place, Suite 300, Carlsbad, CA 92008.

(c)                      Citizenship:  United States of America.

(d)                     Title of Class of Securities:  Common Stock, par value $0.001 par value per share.

(e)                      CUSIP Number:  78116B102.

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:

Not applicable.

Item 4.           Ownership

(a)                      Amount Beneficially Owned:         See Row 9 of cover page.

(b)                     Percent of Class:              See Row 11 of cover page.

(c)                      Number of shares as to which such person has:

(i)                                     Sole power to vote or to direct the vote:          See Row 5 of cover page.

(ii)                                  Shared power to vote or to direct the vote:     —0—

(iii)                               Sole power to dispose or to direct the disposition of:   See Row 7 of cover page.

(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 that five percent of the class of securities, check the following  o.

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

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.

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that that information set forth in this statement is true, complete and correct.

 

January 31, 2002

 

Date

 

 

 

 

 

Signature

 

 

 

Ralph Rubio

 

Name/Title

 

 

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