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) 11/16/2006 |
3. Issuer Name and Ticker or Trading Symbol
CACHE INC [ CACH ] |
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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, par value $.01 per share | 29,920 | D(1) | |
Common Stock, par value $.01 per share | 17,335 | D(2) | |
Common Stock, par value $.01 per share | 607,503 | D(3) | |
Common Stock, par value $.01 per share | 14,629 | D(4) | |
Common Stock, par value $.01 per share | 95,904 | D(5) | |
Common Stock, par value $.01 per share | 765,291 | I | See Footnote 6(6) |
Common Stock, par value $.01 per share | 25,128 | D(7) | |
Common Stock, par value $.01 per share | 66,521 | D(8) | |
Common Stock, par value $.01 per share | 168,030 | D(9) | |
Common Stock, par value $.01 per share | 458,458 | D(10) | |
Common Stock, par value $.01 per share | 1,873,381 | I | See Footnote 11(11) |
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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These securities are owned by Vardon Partners, L.P., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
2. These securities are owned by Vardon Partners II, L.P., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
3. These securities are owned by Vardon Focus Fund, L.P., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
4. These securities are owned by Vardon Focus Fund II, L.P., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
5. These securities are owned by Vardon Hybrid Fund ,L.P., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
6. For purposes of Section 16 of the Exchange Act, these securities may be deemed to be beneficially owned by Vardon Capital, LLC, the general partner of each of the Domestic Funds. Vardon Capital, LLC and Richard W. Shea, Jr., as sole managing member of Vardon Capital, LLC, disclaim beneficial ownership of these securities, except to the extent of their pecuniary interest. |
7. These securities are owned by Vardon International, Ltd., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr for purposes of Section 13(d) of the Exchange Act. |
8. These securities are owned by Vardon International BP, Ltd., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
9. These securities are owned by Vardon Focus Fund International, Ltd., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus International BP, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
10. These securities are owned by Vardon Focus International BP, Ltd., which is a Reporting Person and may be deemed to be a member of a group with Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund, L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Capital, LLC, Vardon Capital Management, LLC and Richard W. Shea, Jr. for purposes of Section 13(d) of the Exchange Act. |
11. These securities are held by the Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus Fund, L.P., Vardon Focus Fund II, L.P., Vardon Hybrid Fund ,L.P., Vardon International, Ltd., Vardon International BP, Ltd., Vardon Focus Fund International, Ltd., Vardon Focus International BP, Ltd., and certain managed accounts advised by Vardon Capital Management, LLC. For purposes of Section 16 of the Exchange Act, these securities may be deemed to be beneficially owned by Vardon Capital Management, LLC. Vardon Capital Management, LLC and Richard W. Shea, Jr., as sole managing member of Vardon Capital Management, LLC, disclaim beneficial ownership of these securities, except to the extent of their pecuniary interest. |
Remarks: |
Please note: Shares outstanding includes 200,000 additional shares in secondary offering 11/16/2006. |
Vardon Partners, L.P., Vardon Partners II, L.P., Vardon Focus, L.P.,Vardon Focus II, L.P.,Vardon Hybrid Fund, L.P.; by their general partner, Vardon Capital, LLC, by its Managing Member, Richard W. Shea, Jr.: /s/ Richard W. Shea, Jr. | 11/21/2006 | |
Vardon International, Ltd.,Vardon International BP, Ltd., Vardon Focus Fund International, Ltd.,Vardon Focus International BP, Ltd., by their director, Richard W. Shea, Jr.: /s/ Richard W. Shea, Jr. | 11/21/2006 | |
Vardon Capital, LLC, by its Managing Member, Richard W. Shea, Jr.: /s/ Richard W. Shea, Jr. | 11/21/2006 | |
Richard W. Shea, Jr. /s/ Richard W. Shea, Jr. | 11/21/2006 | |
** 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. |