-----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, TLwdO0Bwuj7IAjp+m4XSTS0a2VlVK/um/mJ9rvZocHph8P2OWoEfXYIffaUC9JeN 6Em6nSfZ4lDnZlF0OH80FQ== 0000912057-00-011646.txt : 20000316 0000912057-00-011646.hdr.sgml : 20000316 ACCESSION NUMBER: 0000912057-00-011646 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000315 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PANERA BREAD CO CENTRAL INDEX KEY: 0000724606 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 042723701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1226 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42571 FILM NUMBER: 570099 BUSINESS ADDRESS: STREET 1: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6174232100 MAIL ADDRESS: STREET 1: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 FORMER COMPANY: FORMER CONFORMED NAME: AU BON PAIN CO INC DATE OF NAME CHANGE: 19940201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KANE LOUIS I CENTRAL INDEX KEY: 0001034192 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: AU BON PAIN CO STREET 2: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6174232100 MAIL ADDRESS: STREET 1: C/O AU BON PAIN CO INC STREET 2: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 SC 13G/A 1 SCH 13GA UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* PANERA BREAD COMPANY (Name of Issuer) CLASS A COMMON STOCK/CLASS B COMMON STOCK (Title of Class of Securities) 05010 3100/05010 3209 (CUSIP Number) DECEMBER 31, 1999 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) (Amendment filed pursuant to Rule 13d-2(b)) |_| Rule 13d-1(d) 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). Page 1 of 7 Pages
CUSIP No. 050103 3100/05010 3209 Page 2 of 7 Pages 13G - -------- ---------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (Entities only) LOUIS I. KANE - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------- ---------------------------------------------------------------------------------------------------- - ------------------- ------ ---------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 677,380 shares of the Class A Common Stock/ SHARES 35,800 shares of Class B Common Stock ------ ---------------------------------------------------------------------------------- ------ ---------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH ---------------------------------------------------------------------------------- ------ ---------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER REPORTING 677,380 shares of the Class A Common Stock/ PERSON 35,800 shares of Class B Common Stock ---------------------------------------------------------------------------------- ------ ---------------------------------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER 0 - ------------------- ------ ---------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 677,380 shares of Class A Common Stock/ 35,800 shares of Class B Common Stock - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | | - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.28% of Class A Common Stock/ 2.33% of Class B Common Stock - -------- ---------------------------------------------------------------------------------------------------- - -------- ---------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------- ---------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------
Page 2 of 7 Pages Item 1(a). NAME OF ISSUER PANERA BREAD COMPANY Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL OFFICE 7930 BIG BEND BOULEVARD WEBSTER GROVES, MISSOURI 63119 Item 2(a). NAME OF PERSON FILING LOUIS I. KANE Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE C/O AU BON PAIN CO., INC. 19 FID KENNEDY AVENUE BOSTON, MA 02110 Item 2(c). CITIZENSHIP UNITED STATES OF AMERICA Item 2(d). TITLE OF CLASS OF SECURITIES CLASS A COMMON STOCK, PAR VALUE $.0001 PER SHARE CLASS B COMMON STOCK, PAR VALUE $.0001 PER SHARE Item 2(e). CUSIP NUMBER 05010 3100/05010 3209 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a)[] Broker or dealer registered under Section 15 of the Exchange Act (b)[] Bank as defined in Section 3(a)(6) of the Exchange Act. (c)[] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d)[] Investment company registered under Section 8 of the Investment Company Act. (e)[] Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f)[] Employee benefit plan, or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g)[] Parent holding company or control person, in accordance with Rule 13d-1(b)(1)(ii)(G). (h)[] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i)[] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. Page 3 of 7 Pages (j)[] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box [X]. Item 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of the securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: 677,380 SHARES OF CLASS A COMMON STOCK/ 35,800 SHARES OF CLASS B COMMON STOCK MR. KANE'S BENEFICIAL OWNERSHIP CONSISTS OF (1) 50 SHARES OF CLASS A COMMON STOCK, (2) 677,330 STOCK OPTIONS VESTED AND EXERCISABLE PRESENTLY OR WITHIN 60 DAYS TO ACQUIRE A LIKE NUMBER OF SHARES OF CLASS A COMMON STOCK, AND (3) 35,800 SHARES OF CLASS B COMMON STOCK. THE CLASS B COMMON STOCK IS CONVERTIBLE SHARE-FOR-SHARE INTO SHARES OF CLASS A COMMON STOCK. SEE THE NOTE ON VOTING PERCENTAGES BELOW.* (b) Percent of Class: 6.28% OF CLASS A COMMON STOCK/ 2.33% OF CLASS B COMMON STOCK) (c) Number of shares as to which such persons has: (i) sole power to vote or to direct the vote: 677,380 SHARES OF CLASS A COMMON STOCK/ 35,800 SHARES OF CLASS B COMMON STOCK (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 677,380 SHARES OF CLASS A COMMON STOCK/ 35,800 SHARES OF CLASS B COMMON STOCK (iv) shared power to dispose or to direct the disposition of: -0- *DUE TO THE FACT THAT EACH SHARE OF CLASS A COMMON STOCK IS ENTITLED TO ONE VOTE ON ALL MATTERS SUBMITTED TO STOCKHOLDERS Page 4 of 7 Pages AND EACH SHARE OF CLASS B COMMON STOCK IS ENTITLED TO THREE VOTES ON ALL SUCH MATTERS, EQUITY PERCENTAGE IS NOT EQUIVALENT TO VOTING POWER. MR. KANE'S AGGREGATE PERCENTAGE OF VOTING POWER IS EQUAL TO APPROXIMATELY 4.93% OF THE ISSUER'S COMBINED VOTING EQUITY SECURITIES. 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 [ ]. INAPPLICABLE. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. INAPPLICABLE Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identification of the relevant subsidiary. INAPPLICABLE Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. If a group has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(J), so indicate under Item 3(h) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(d), attach an exhibit stating the identity of each member of the group. INAPPLICABLE Page 5 of 7 Pages Item 9. NOTICE OF DISSOLUTION OF GROUP. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by the members of the group, in their individual capacity. (See Item 5.) INAPPLICABLE Item 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] Page 6 of 7 Pages 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. Date: March 14, 2000 Signature: /s/ Louis I. Kane Name/Title: Louis I. Kane Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----