FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/28/2010 |
3. Issuer Name and Ticker or Trading Symbol
BENIHANA INC [ BNHNA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 232,483 | I | See Note 1(1) |
Common Stock - Class A | 1,463,883 | I | See Note 1(1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Buy Class A Common Stock | 03/28/2011 | 09/28/2020 | Class A Common Stock | 10,000 | $7.55 | I | See Note 1, 2(1)(2) |
Explanation of Responses: |
1. These securities are held directly by (i) an investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company, is general partner, and Coliseum Capital Management, LLC, a Delaware limited liability company (together with Coliseum Capital, LLC, "Coliseum"), is investment adviser and (ii) an investment partnership of which Coliseum Capital Management, LLC is an investment adviser. Mr. Gray serves as a manager of Coliseum Capital, LLC and Coliseum Capital Management, LLC and is a director of the Issuer. Each of Mr. Gray and Coliseum disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein. |
2. One-third exercisable 3/28/2011; one-third exercisable 9/28/2011; one-third exercisable 9/28/2012. These options have a strike price of $7.55. |
Adam Gray | 10/08/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |