-----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, METQEgs+YufKzszLPpuKc9eOJlb4hu6Pb9rvQ1HqczYUYQXXYibQz8ANYq9X1P1q b1o4yRIIUA+3/3xHJM7G3w== 0001104659-06-008446.txt : 20060213 0001104659-06-008446.hdr.sgml : 20060213 20060213171121 ACCESSION NUMBER: 0001104659-06-008446 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20060213 DATE AS OF CHANGE: 20060213 GROUP MEMBERS: CHARLOTTE L. NEUVILLE GROUP MEMBERS: IAN CRYSTAL 2004 TRUST GROUP MEMBERS: JESSICA CRYSTAL 2004 TRUST GROUP MEMBERS: JOHN D. HOWARD GROUP MEMBERS: LARA CRYSTAL 2004 TRUST GROUP MEMBERS: MEREDITH COHEN 2004 TRUST GROUP MEMBERS: NATIONAL PHILANTHROPIC TRUST GROUP MEMBERS: RICHARD P. CRYSTAL GROUP MEMBERS: ROBERT J. LUZZI GROUP MEMBERS: RONALD W. RISTAU GROUP MEMBERS: RWR 2004 GRANTOR RETAINED ANNUITY TRUST GROUP MEMBERS: STEVEN M. NEWMAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: New York & Company, Inc. CENTRAL INDEX KEY: 0001211351 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 331031445 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80433 FILM NUMBER: 06604709 BUSINESS ADDRESS: STREET 1: 450 WEST 33RD ST 5TH FL CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: 212-884-2110 MAIL ADDRESS: STREET 1: 450 WEST 33RD ST 5TH FL CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: NY & CO GROUP INC DATE OF NAME CHANGE: 20021220 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BSMB/NYCG LLC CENTRAL INDEX KEY: 0001303275 IRS NUMBER: 201238703 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O BEAR, STEARNS MERCHANT BANKING STREET 2: 383 MADISON AVE., 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10179 BUSINESS PHONE: 212-272-3988 MAIL ADDRESS: STREET 1: C/O BEAR, STEARNS MERCHANT BANKING STREET 2: 383 MADISON AVE., 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10179 SC 13G/A 1 a06-4425_1sc13ga.htm AMENDMENT

 

 

UNITED STATES

 

 

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), (c) AND (d) AND AMENDMENTS

THERETO FILED PURSUANT TO RULE 13d-2(b)

 

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

 

New York & Company, Inc.

(Name of Issuer)

 

Common Stock, par value $0.001 per share

(Title of Class of Securities)

 

649295102

(CUSIP Number)

 

January 31, 2006

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this 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 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).

 



 

CUSIP No.  649295102

 

Page 2 of 14

 

 

1.

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

BSMB/NYCG LLC (1)

 

 

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
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
31,618,972(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
31,618,972(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
31,618,972(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
57.4%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  John D. Howard is a senior managing director of Bear, Stearns & Co. Inc., a subsidiary of The Bear Stearns Companies, Inc. Through his ownership of JDH Management LLC, Mr. Howard exercises investment direction over the reported securities held by Bear Stearns Merchant Banking (the several limited partnerships controlled by Bear Stearns Merchant Capital II, L.P., together with any affiliates through which such parterships invest) and BSMB/NYCG LLC. Mr. Howard and The Bear Stearns Companies Inc. share investment and voting power with respect to shares owned by Bear Stearns Merchant Banking and BSMB/NYCG LLC, but disclaim beneficial ownership of such shares. The number of shares reported consists of 31,618,972 shares of common stock, also reflected on the cover page for John D. Howard.

 

2



 

CUSIP No.  649295102

 

Page 3 of 14

 

 

1.

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

John D. Howard (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
31,618,972(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
31,618,972(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
31,618,972(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
57.4%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  Pursuant to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, the Reporting Person is required to vote shares of New York & Company, Inc. owned by BSMB/NYCG LLC to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  John D. Howard is a senior managing director of Bear, Stearns & Co. Inc., a subsidiary of The Bear Stearns Companies, Inc. Through his ownership of JDH Management LLC, Mr. Howard exercises investment direction over the reported securities held by Bear Stearns Merchant Banking (the several limited partnerships controlled by Bear Stearns Merchant Capital II, L.P., together with any affiliates through which such parterships invest) and BSMB/NYCG LLC. Mr. Howard and The Bear Stearns Companies Inc. share investment and voting power with respect to shares owned by Bear Stearns Merchant Banking and BSMB/NYCG LLC, but disclaim beneficial ownership of such shares. The number of shares reported consists of 31,618,972 shares of common stock, also reflected on the cover page for BSMB/NYCG LLC.

 

3



 

CUSIP No.  649295102

 

Page 4 of 14

 

 

1.

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

Richard P. Crystal (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
2,424,288(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
2,424,288(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,424,288(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
4.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  Includes 43,553 shares of common stock and 2,380,735 shares of common stock currently issuable upon exercise of options.  Does not include options to purchase 236,784 shares of common stock to be vested once fiscal 2005 earning targets are confirmed by audited annual financial statements.  Does not include shares owned by the Lara Crystal 2004 Trust, Jessica Crystal 2004 Trust,  Ian Crystal 2004 Trust, or Meredith Cohen 2004 Trust. 

 

4



 

CUSIP No.  649295102

 

Page 5 of 14

 

 

1.

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

Ronald W. Ristau (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,490,507(2)

 

6.

Shared Voting Power
85,726(3)

 

7.

Sole Dispositive Power
1,490,507(2)

 

8.

Shared Dispositive Power
85,726(3)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,576,233(4)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
2.8%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2) Includes 258,424 shares of common stock, as well as 1,232,083 shares of common stock issuable upon exercise of options. Does not include options to purchase 152,594 shares of common stock to be vested once fiscal 2005 earning targets are confirmed by audited annual financial statements.   Does not include 85,726 shares owned by the RWR 2004 Grantor Retained Annuity Trust.

(3)  Reflects shares owned by the RWR 2004 Grantor Retained Annuity Trust.

(4) Includes 344,150 shares of common stock, including 85,726 shares owned by the RWR 2004 Grantor Retained Annuity Trust, as well as 1,232,083 shares of common stock issuable upon exercise of options. Does not include options to purchase 152,594 shares of common stock to be vested once fiscal 2005 earning targets are confirmed by audited annual financial statements.

 

5



 

CUSIP No.  649295102

 

Page 6 of 14

 

 

1.

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

Steven M. Newman (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
281,523(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
281,523(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
281,523(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.5%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  Includes 171,026 shares of common stock and 110,497 shares of common stock issuable upon exercise of options.  Does not include options to purchase 18,418 shares of common stock to be vested once fiscal 2005 earning targets are confirmed by audited annual financial statements.

 

6



 

CUSIP No.  649295102

 

Page 7 of 14

 

 

1.

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

Charlotte L. Neuville (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
179,519(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
179,519(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
179,519(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  Includes 179,519 shares of common stock.

7



 

CUSIP No.  649295102

 

Page 8 of 14

 

 

1.

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

Robert J. Luzzi (1)

 

 

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

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
61,364(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
61,364(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
61,364(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  Includes 61,364 shares of common stock issuable upon exercise of options.  Does not include options to purchase 11,664 shares of common stock to be vested once fiscal 2005 earning targets are confirmed by audited annual financial statements.

 

8



 

CUSIP No.  649295102

 

Page 9 of 14

 

 

1.

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

LARA CRYSTAL 2004 TRUST (1)

 

 

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
New York

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
120,418

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
120,418

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
120,418

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

 

9



 

CUSIP No.  649295102

 

Page 10 of 14

 

 

1.

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

JESSICA CRYSTAL 2004 TRUST (1)

 

 

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
New York

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
120,418

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
120,418

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
120,418

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

 

10



 

CUSIP No.  649295102

 

Page 11 of 14

 

 

1.

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

IAN CRYSTAL 2004 TRUST (1)

 

 

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
New York

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
120,418

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
120,418

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
120,418

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

 

11



 

CUSIP No.  649295102

 

Page 12 of 14

 

 

1.

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

MEREDITH COHEN 2004 TRUST (1)

 

 

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
New York

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
120,418

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
120,418

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
120,418

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  The Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

 

12



 

CUSIP No.  649295102

 

Page 13 of 14

 

 

1.

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

RWR 2004 GRANTOR RETAINED ANNUITY TRUST (1)

 

 

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
New York

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
85,726(2)

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
85,726(2)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
85,726(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 


(1)  Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

(2)  Consists of 85,726 shares of common stock, also reflected on the cover page for Ronald W. Ristau.

 

13



 

CUSIP No.  649295102

 

Page 14 of 14

 

 

1.

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

National Philanthropic Trust (1)

 

 

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
Pennsylvania

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
30,000(2)

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
30,000(2)

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
30,000(2)

 

 

10.

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

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.1%

 

 

12.

Type of Reporting Person (See Instructions)
EP

 


(1)  Reporting Person is a party to a Stockholders’ Agreement dated August 25, 2004, as amended from time to time, pursuant to which the Reporting Person has agreed to vote shares of New York & Company, Inc. to cause the authorized number of directors on the Board of Directors to be ten directors.

 

14



 

Item 1.

 

(a)

Name of Issuer
New York & Company, Inc. (the “Issuer”)

 

(b)

Address of Issuer’s Principal Executive Offices
450 West 33rd Street, 5th Floor

New York, New York 10001

 

Item 2.

 

(a)

Names of Persons Filing
This statement on Schedule 13G is being filed jointly by (1) BSMB/NYCG LLC, (2) John D. Howard, (3) Richard P. Crystal, (4) Ronald W. Ristau, (5) Robert J. Luzzi, (6) Charlotte L. Neuville, (7) Steven M. Newman, (8) Lara Crystal 2004 Trust, (9) Jessica Crystal 2004 Trust, (10) Ian Crystal 2004 Trust, (11) Meredith Cohen 2004 Trust, (12) RWR 2004 Grantor Retained Annuity Trust and (13) National Philanthropic Trust.  The persons described in items (1) through (13) are referred to herein as the “Reporting Persons.”

 

 

 

 

(b)

Address of Principal Business Office or, if none, Residence
Each Reporting Person, other than BSMB/NYCG LLC, John D. Howard and National Philanthropic Trust has its, his or her principal business office at:

 

 

450 West 33rd Street, 5th Floor

New York, New York 10001

 

 

BSMB/NYCG LLC and John D. Howard have their principal business office at:

 

 

383 Madison Avenue, 40th Floor

New York, New York 10179

 

National Philanthropic Trust has its principal business office at:

165 Township Line Road,

Suite 150

Jenkintown, PA 19046

 

 

 

 

(c)

Citizenship
BSMB/NYCG LLC is a limited liability company organized in the state of Delaware.

 

 

National Philanthropic Trust is a tax-exempt public charity organized in the commonwealth of Pennsylvania.

 

 

John D. Howard, Richard P. Crystal, Ronald W. Ristau, Robert J. Luzzi,  Charlotte L. Neuville and Steven M. Newman are citizens of the United States.

 

 

The Lara Crystal 2004 Trust, Jessica Crystal 2004 Trust,  Ian Crystal 2004 Trust, Meredith Cohen 2004 Trust and RWR 2004 Grantor Retained Annuity Trust are trusts organized in the state of New York.

 

 

 

 

(d)

Title of Class of Securities
This Statement relates to shares of the common stock of the Issuer, par value $0.001 per share (the “Stock”).

 

 

 

 

(e)

CUSIP Number
649295102

 

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

 

 

 

15



 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

The Reporting Persons beneficially own 36,653,571 shares of Stock of the Issuer, including options to purchase Stock of the Issuer.

 

(b)

Percent of class:

 

 

The Reporting Persons beneficially own approximately 62.2% of the outstanding shares of Stock of the Issuer, based upon 58,917,478 shares of Stock outstanding, including options to purchase common stock of the Issuer owned by the Reporting Persons.

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

See the responses to Item 5 on the attached cover pages.

 

 

(ii)

Shared power to vote or to direct the vote    

See the responses to Item 6 on the attached cover pages.

 

 

(iii)

Sole power to dispose or to direct the disposition of    

See the responses to Item 7 on the attached cover pages.

 

 

(iv)

Shared power to dispose or to direct the disposition of   

See the responses to Item 8 on the attached cover pages.

 

 

 

 

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   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 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

 

Not Applicable to filings pursuant to Rule 13d-1(d).

 

16



 

SIGNATURE

 

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

 

Dated:  February 13th, 2006

 

 

 

 

BSMB/NYCG LLC

 

 

 

By: Bear Stearns Merchant Manager II, LLC
Its: Manager

 

 

 

By: JDH Management LLC
Its: Manager

 

 

 

 

 

By:

/s/ John Howard

 

 

Name: John Howard

 

Title: President

 

 

 

/s/ John D. Howard

 

 

John D. Howard

 

 

 

/s/ Richard P. Crystal

 

 

Richard P. Crystal

 

 

 

/s/ Ronald W. Ristau

 

 

Ronald W. Ristau

 

 

 

/s/ Steven M. Newman

 

 

Steven M. Newman

 

 

 

/s/ Charlotte L. Neuville

 

 

Charlotte L. Neuville

 

17



 

 

/s/ Robert J. Luzzi

 

 

Robert J. Luzzi

 

 

 

LARA CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Carole Crystal

 

 

Name: Carole Crystal

 

Its:  Trustee

 

 

 

 

 

JESSICA CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Carole Crystal

 

 

Name: Carole Crystal

 

Its: Trustee

 

 

 

 

 

IAN CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Eugene Friedman

 

 

Name: Eugene Friedman

 

Its: Trustee

 

 

 

 

 

MEREDITH COHEN 2004 TRUST

 

 

 

 

 

By:

/s/ Eugene Friedman

 

 

Name: Eugene Friedman

 

Its: Trustee

 

18



 

 

RWR 2004 GRANTOR RETAINED
ANNUITY TRUST

 

 

 

 

 

By:

/s/ Ronald W. Ristau

 

 

Name: Ronald W. Ristau

 

Its: Trustee

 

 

 

 

 

NATIONAL PHILANTHROPIC TRUST

 

 

 

 

 

By:

/s/ Eileen R. Heisman

 

 

Name: Eileen R. Heisman

 

Title:   President and Chief Executive Officer

 

19



 

Index Exhibit

 

SCHEDULE 13G

 

Exhibit Number

 

Exhibit Description

99.1

 

Joint Filing Agreement

 

20


EX-99.1 2 a06-4425_1ex99d1.htm EXHIBIT 99

Exhibit 99.1

 

JOINT FILING AGREEMENT

 

The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

In accordance with Rule 13d-1(k)(1) promulgated under the Securities and Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other on behalf of each of them of to such a statement on Schedule 13G with respect to the common stock of New York & Company, Inc. beneficially owned by each of them. This Joint Filing Agreement shall be included as an exhibit to such Schedule 13G.

 

Dated: February 13th, 2006

 

 

 

 

 

 

BSMB/NYCG LLC

 

 

 

By: Bear Stearns Merchant Manager II, LLC

 

Its: Manager

 

 

 

By: JDH Management LLC

 

Its: Manager

 

 

 

 

 

By:

/s/ John D. Howard

 

 

Name: John D. Howard

 

Title: President

 

 

 

/s/ John D. Howard

 

 

John D. Howard

 

 

 

/s/ Richard P. Crystal

 

 

Richard P. Crystal

 

 

 

/s/ Ronald W. Ristau

 

 

Ronald W. Ristau

 



 

 

/s/ Steven M. Newman

 

 

Steven M. Newman

 

 

 

/s/ Charlotte L. Neuville

 

 

Charlotte L. Neuville

 

 

 

/s/ Robert J. Luzzi

 

 

Robert J. Luzzi

 

 

 

LARA CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Carole Crystal

 

 

Name: Carole Crystal

 

Its: Trustee

 

 

 

 

 

JESSICA CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Carole Crystal

 

 

Name: Carole Crystal

 

Its: Trustee

 

 

 

 

 

IAN CRYSTAL 2004 TRUST

 

 

 

 

 

By:

/s/ Eugene Friedman

 

 

Name: Eugene Friedman

 

Its: Trustee

 

 

 

 

 

MEREDITH COHEN 2004 TRUST

 

 

 

 

 

By:

/s/ Eugene Friedman

 

 

Name: Eugene Friedman

 

Its: Trustee

 



 

 

RWR 2004 GRANTOR RETAINED
ANNUITY TRUST

 

 

 

 

 

By:

/s/ Ronald W. Ristau

 

 

Name: Ronald W. Ristau

 

Its: Trustee

 

 

 

 

 

NATIONAL PHILANTHROPIC TRUST

 

 

 

 

 

By:

/s/ Eileen R. Heisman

 

 

Name:  Eileen R. Heisman

 

Title:   President and Chief Executive Officer

 


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