-----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, NrPUPeBLa1MkD8ia3eB1yPeRec/NFvd2OD0z2hGt/yjYjZCrh5ihkqW7mu4NLpwK dOHeFvcTL0Z6Z1DdjaHc7g== 0001193125-07-024280.txt : 20070208 0001193125-07-024280.hdr.sgml : 20070208 20070208170137 ACCESSION NUMBER: 0001193125-07-024280 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070208 DATE AS OF CHANGE: 20070208 GROUP MEMBERS: JOSEPH LEWIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGIS CORP CENTRAL INDEX KEY: 0000716643 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PERSONAL SERVICES [7200] IRS NUMBER: 410749934 STATE OF INCORPORATION: MN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42627 FILM NUMBER: 07593364 BUSINESS ADDRESS: STREET 1: 7201 METRO BLVD CITY: MINNEAPOLIS STATE: MN ZIP: 55439 BUSINESS PHONE: 6129477000 MAIL ADDRESS: STREET 1: 7201 METRO BLVD CITY: MINNEAPOLIS STATE: MN ZIP: 55439 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MANDARIN INC CENTRAL INDEX KEY: 0001015748 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O CAY HOUSE STREET 2: P O BOX N7776 CITY: LYFORD CAY BAHAMAS BUSINESS PHONE: 2125195182 MAIL ADDRESS: STREET 1: PO BOX N7776 CITY: LYFORD BAHAMAS SC 13D/A 1 dsc13da.htm SCHEDULE 13D AMENDMENT NO. 1 Schedule 13D Amendment No. 1

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND

AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)

(Amendment No. 1)

 

 

 

REGIS CORPORATION


(Name of Issuer)

 

Common Stock, par value $0.05 per share


(Title of Class of Securities)

 

758932107


(CUSIP Number)

 

Kurt Butenhoff

383 Madison Avenue, 24th Floor

New York, New York 10179

Telephone Number: (212) 272-6248


(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

February 7, 2007


(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box  ¨.

Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

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. 758932107   

13D

(Amendment No. 1)

   Page 2 of 6 Pages

 

  1  

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSONS (ENTITIES ONLY)

   
                Mandarin, Inc.    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
  (a)   ¨  
    (b)   ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS*  
                Not applicable    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                Bahamas    
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
    7  SOLE VOTING POWER
 
                  2,307,600 (see Item 5)
    8  SHARED VOTING POWER
 
                  0 (see Item 5)
    9  SOLE DISPOSITIVE POWER
 
                  2,307,600 (see Item 5)
    10  SHARED DISPOSITIVE POWER
 
                  0 (see Item 5)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                2,307,600 (see Item 5)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES   ¨
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                5.1% (see Item 5)    
14   TYPE OF REPORTING PERSON*  
                CO    


CUSIP No. 758932107   

13D

(Amendment No. 1)

  

Page 3 of 6 Pages

 

  1  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

   
                Joseph Lewis    
  2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
  (a)  ¨  
    (b)  ¨    
  3   SEC USE ONLY  
         
  4   SOURCE OF FUNDS  
                Not applicable    
  5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)   ¨
         
  6   CITIZENSHIP OR PLACE OF ORGANIZATION  
                United Kingdom    
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
    7  SOLE VOTING POWER
 
                  0 (see Item 5)
    8  SHARED VOTING POWER
 
                  2,307,600 (see Item 5)
    9  SOLE DISPOSITIVE POWER
 
                  0 (see Item 5)
  10  SHARED DISPOSITIVE POWER
 
                  2,307,600 (see Item 5)
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
                2,307,600 (see Item 5)    
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES   ¨
         
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)  
                5.1% (see Item 5)    
14   TYPE OF REPORTING PERSON  
                IN    


Item 1. Security and Issuer

The Amendment No. 1 to Schedule 13D (this “Amendment”) relates to the Common Stock, par value $0.05 per share (the “Shares”) of Regis Corporation, a Minnesota corporation (the “Issuer” or the “Company”). The Issuer’s principal executive offices are located at 7201 Metro Boulevard, Edina, Minnesota 55439. This Amendment is filed jointly pursuant to Commission Rule 13d-1(k)(1) by Mandarin, Inc. (“Mandarin”) and Joseph Lewis and amends the Schedule 13D originally filed by Mandarin and Joseph Lewis on August 2, 2006.

 

Item 2. Identity and Background

Mandarin is an international business corporation organized under the laws of the Bahamas. Joseph Lewis is a director and the President of Mandarin and is the ultimate indirect owner of, and controls, Mandarin. Joseph Lewis is a permanent resident of the Bahamas and a citizen of the United Kingdom. Mandarin and Joseph Lewis are principally engaged in business as private investors. The business address of each of Mandarin and Joseph Lewis is c/o Cay House, P.O. Box N-7776, Lyford Cay, New Providence, Bahamas.

During the last five years, neither Mandarin nor Joseph Lewis has been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of a competent jurisdiction and as a result of which was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

Mandarin and Joseph Lewis are each a “Reporting Person” and are referred to collectively in this Statement as the “Reporting Persons.”

Set forth on Schedule A to this Statement, and incorporated herein by reference, is the (a) name, (b) residence or business address, (c) present principal occupation or employment, and (d) citizenship, of each executive officer and director of Mandarin, and (e) name of any corporation or other organization in which such occupation or employment is conducted, together with the principal business and address of any such corporation or organization other than Mandarin for which such information is set forth.

During the last five years, to the best of each of the Reporting Persons’ knowledge, none of the individuals set forth on Schedule A, (a) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (b) has been party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

 

Item 3. Source and Amount of Funds or Other Consideration

Not applicable.

 

Item 4. Purpose of Transaction

Mandarin will continue to review its investment in the Company and may determine, based on the market and general economic conditions, the business affairs and financial condition of the Company, the market price of its shares and other factors deemed relevant by Mandarin, to acquire or dispose of additional Shares.

Except as set forth above in this Item 4, Mandarin has no present plans or proposals that relate to or would result in: (a) the acquisition by any person of additional securities of the Company, or the disposition of securities of the Company; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation involving the Company or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Company or of any of its subsidiaries; (d) any change in the present board of directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Company; (f) any other material change in the Company’s business or corporate structure, including, but not limited to, any plans or proposals to make any changes in the Company’s investment policy for which a vote is required by


Section 13 of the Investment Company Act of 1940; (g) changes in the Company’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person; (h) causing a class of securities of the Company to be delisted from a national securities exchange or cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action similar to any of those enumerated above.

 

Item 5. Interest in Securities of the Issuer

As of February 8, 2007, the Reporting Persons may be deemed to beneficially own, in the aggregate, 2,307,600 Shares, representing 5.1% of the Issuer’s outstanding Shares (based on 44,832,926 Shares stated to be outstanding as of December 31, 2006 by the Issuer in the Issuer’s Current Report on Form 8-K filed with the Securities and Exchange Commission on January 24, 2007). Mandarin has sole voting power and sole dispositive power with regard to the 2,307,600 Shares which it owns directly. As an officer and director of Mandarin, Joseph Lewis may be deemed to have shared voting power and shared dispositive power with regard to such Shares.

Set forth below are the number of Shares, trading dates and average price per Share for all sales of Regis Corporation Common Stock made by Mandarin within the past 60 days. All sales were open market transactions and were effected on the New York Stock Exchange.

 

Number of

Shares

 

Date

 

Price per

Share

286,000

  2/8/2007   42.6895

269,800

  2/7/2007   42.9694

20,000

  2/5/2007   42.8489

10,000

  2/1/2007   42.1878

10,000

  2/1/2007   42.1878

3,000

  12/28/2006   40.1465

32,600

  12/27/2006   40.0523

30,900

  12/21/2006   39.6940

108,500

  12/20/2006   39.6376

16,500

  12/19/2006   39.4824

98,500

  12/15/2006   39.2570

50,000

  12/15/2006   39.2570

1,500

  12/15/2006   39.2570

58,500

  12/14/2006   39.2507

Only Mandarin has the right to receive dividends and the proceeds from the sale of the Shares of Common Stock beneficially owned by the Reporting Persons.

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

None.


Item 7. Material to Be Filed as Exhibits

 

Exhibit No.   

Description

99.1    Joint Filing Agreement, dated August 2, 2006, between Mandarin, Inc. and Joseph Lewis.


SIGNATURE

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

 

    MANDARIN, INC.
Date: February 8, 2007    
  By:  

/s/ Jefferson R. Voss

  Name:   Jefferson R. Voss
  Title:   Vice President
  JOSEPH LEWIS
  By:  

/s/ Joseph Lewis

    Joseph Lewis, Individually


SCHEDULE A

ADDITIONAL INFORMATION CONCERNING THE REPORTING PERSONS

MANDARIN, INC.

The executive officers and directors of Mandarin, Inc. are set forth below. Each individual’s business address is c/o Cay House, Box N-7776, E.P. Taylor Drive, Lyford Cay, New Providence, Bahamas. Except as otherwise stated, the present principal occupation or employment set forth below opposite the name of each person refers to employment with Mandarin, Inc.

 

Name

  

Present Principal Occupation or Employment

   Citizenship

Jane A. Lewis

   Director, Secretary and Treasurer    United Kingdom

Jefferson R. Voss

   Vice President    USA


EXHIBIT INDEX

 

Exhibit No.   

Description

99.1    Joint Filing Agreement, dated August 2, 2006, between Mandarin, Inc. and Joseph Lewis.
EX-99.1 2 dex991.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT

Exhibit 99.1

JOINT FILING AGREEMENT

The undersigned hereby agree that the Statement on Schedule 13D, dated August 2, 2006, with respect to the shares of Regis Corporation Common Stock, par value $0.05 per share, is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, and that this Agreement shall be included as an Exhibit to the Schedule 13D and each such amendment. Each of the undersigned agrees to be responsible for the timely filing of the Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning itself contained therein. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned have executed this Agreement as of August 2, 2006.

 

MANDARIN, INC.
By:  

/s Jefferson R. Voss

Name:

 

Jefferson R. Voss

Title:

 

Vice President

JOSEPH LEWIS

By:

 

/s/ Joseph Lewis

 

Joseph Lewis, Individually

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