0001181431-13-060944.txt : 20131127 0001181431-13-060944.hdr.sgml : 20131127 20131127194514 ACCESSION NUMBER: 0001181431-13-060944 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131127 FILED AS OF DATE: 20131127 DATE AS OF CHANGE: 20131127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VINCE HOLDING CORP. CENTRAL INDEX KEY: 0001579157 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-APPAREL & ACCESSORY STORES [5600] IRS NUMBER: 753264870 STATE OF INCORPORATION: DE FISCAL YEAR END: 0202 BUSINESS ADDRESS: STREET 1: 600 KELLWOOD PARKWAY CITY: CHESTERFIELD STATE: MO ZIP: 63107 BUSINESS PHONE: (314) 576-3100 MAIL ADDRESS: STREET 1: 600 KELLWOOD PARKWAY CITY: CHESTERFIELD STATE: MO ZIP: 63107 FORMER COMPANY: FORMER CONFORMED NAME: Apparel Holding Corp. DATE OF NAME CHANGE: 20130626 FORMER COMPANY: FORMER CONFORMED NAME: Kellwood Holding Corp. DATE OF NAME CHANGE: 20130612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SUN CAPITAL SECURITIES FUND, LP CENTRAL INDEX KEY: 0001288467 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36212 FILM NUMBER: 131248916 BUSINESS ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: 561-394-0550 MAIL ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 FORMER NAME: FORMER CONFORMED NAME: SUN CAPITAL SECURITIES FUND L P DATE OF NAME CHANGE: 20040423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sun Capital Securities Offshore Fund, Ltd. CENTRAL INDEX KEY: 0001344696 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36212 FILM NUMBER: 131248917 BUSINESS ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: 561-394-0550 MAIL ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 FORMER NAME: FORMER CONFORMED NAME: Sun Capital Securities Offshore Fund Ltd DATE OF NAME CHANGE: 20051117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sun Capital Securities Advisors, LP CENTRAL INDEX KEY: 0001358621 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36212 FILM NUMBER: 131248914 BUSINESS ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: (561) 394-0550 MAIL ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sun Capital Securities, LLC CENTRAL INDEX KEY: 0001358622 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36212 FILM NUMBER: 131248915 BUSINESS ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 470 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: (561) 394-0550 MAIL ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE STREET 2: SUITE 470 CITY: BOCA RATON STATE: FL ZIP: 33486 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCSF Cardinal, LLC CENTRAL INDEX KEY: 0001591946 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36212 FILM NUMBER: 131248918 BUSINESS ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE, SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 BUSINESS PHONE: 561-948-7509 MAIL ADDRESS: STREET 1: 5200 TOWN CENTER CIRCLE, SUITE 600 CITY: BOCA RATON STATE: FL ZIP: 33486 4 1 rrd396286.xml FORM 4 X0306 4 2013-11-27 0 0001579157 VINCE HOLDING CORP. VNCE 0001591946 SCSF Cardinal, LLC C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, SUITE 600 BOCA RATON FL 33486 0 0 1 0 0001344696 Sun Capital Securities Offshore Fund, Ltd. C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, SUITE 600 BOCA RATON FL 33486 0 0 1 0 0001288467 SUN CAPITAL SECURITIES FUND, LP C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, SUITE 600 BOCA RATON FL 33486 0 0 1 0 0001358622 Sun Capital Securities, LLC C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, SUITE 600 BOCA RATON FL 33486 0 0 1 0 0001358621 Sun Capital Securities Advisors, LP C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, SUITE 600 BOCA RATON FL 33486 0 0 1 0 Common Stock, par value $0.01 2013-11-27 4 J 0 6551420 A 6551420 I See Footnote Common Stock, par value $0.01 2013-11-27 4 M 0 65528 0.04 A 6616948 I See Footnote Common Stock, par value $0.01 2013-11-27 4 S 0 375000 18.60 D 6241948 I See Footnote Employee Stock Option (right to buy) 0.04 2013-11-27 4 A 0 65528 4.61 A 2013-11-27 2013-12-07 Common Stock 196583 65528 I See Footnote Employee Stock Option (right to buy) 0.04 2013-11-27 4 M 0 65528 0 D 2013-11-27 2013-12-07 Common Stock 196583 0 I See Footnote Pursuant to the Amended and Restated Certificate of Incorporation of Apparel Holding Corp. (renamed Vince Holding Corp., the "Company") filed immediately prior to the consummation of the Company's initial public offering, each share of voting common stock, par value $0.001 per share, was converted into 28.5177 shares of common stock, par value $0.01 per share (the "Stock Split"). Represents common stock owned of record by SCSF Cardinal, LLC ("SCSF Cardinal"). SCSF Cardinal is jointly owned by Sun Capital Securities Offshore Fund, Ltd. ("SCSF Offshore") and Sun Capital Securities Fund, L.P. ("SCSF LP"). Sun Cardinal Securities, LLC ("SCSF LLC") is the general parter of Sun Capital Securities Advisors, L.P. ("SCSF Advisors"), which is in turn the general partner of SCSF LP. As a result, SCSF LLC, SCSF Advisors, SCSF LP and SCSF Offshore (collectively, the "Indirect Sun Owners") may be deemed to have indirect beneficial ownership of the securities owned of record by SCSFCardinal. Each Indirect Sun Owner expressly disclaims beneficial ownership of any securities in which they do not have a pecuniary interest. As set forth in Table II, 65,528 employee stock options were previously issued by Kellwood Company to a former Kellwood Company employee on February 20, 2008 pursuant to the 2010 Option Plan. The Company assumed Kellwood Company's obligations with respect to such options on November 21, 2013 (which became options to acquire shares of the Company's common stock); provided that such options did not become exercisable until consummation of the Company's initial public offering. The options and the related exercise price have been adjusted to give effect to such assumption and the Stock Split. On November 27, 2013, Sun Cardinal acquired such options from the former Kellwood Company employee and exercised such options on the same date. Represents shares of common stock sold in the Company's initial public offering by SCSF Cardinal at a public offering price of $20.00 per share, net of the underwriters' discount of $1.40 per share. Pursuant to that option extension agreement dated as of August 5,2013 between the former employee and Kellwood Copmany, the expiration date of the subject options was extended to the earliest of (i) 10 days following the consummation of the Company's initial public offering (which occurred on November 27, 2013), (ii) the date of the consummation of a "Sale" (as defined in the employee's grant agreement) and (iii) June 20, 2020. which became options to acquire shares of the company's common stock By: /s/ Christopher T. Metz, by power of attorney, for Sun Capital Securities Offshore Fund, Ltd. 2013-11-27 By: /s/ Christopher T. Metz, by power of attorney, for Sun Capital Securities Fund, LP 2013-11-27 By: /s/ Christopher T. Metz, by power of attorney, for Sun Capital Securities Advisors, LP 2013-11-27 By: /s/ Christopher T. Metz, by power of attorney, for Sun Capital Securities, LLC 2013-11-27 By: /s/ Christopher T. Metz, by power of attorney, for SCSF Cardinal, LLC 2013-11-27