-----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, Ml4/1Het6V7wVjCf1ACVWWRrhH+x+hXE9CkK+tQJyTF1gUO62TJDy5IwL1n0J3sM Gyup/xBkckPf1kbLfPiKmg== 0000950131-97-000956.txt : 19970222 0000950131-97-000956.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950131-97-000956 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AU BON PAIN CO INC CENTRAL INDEX KEY: 0000724606 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 042723701 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42571 FILM NUMBER: 97532523 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WANGER ADVISORS TRUST CENTRAL INDEX KEY: 0000929521 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET STE 3000 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126349200 FORMER COMPANY: FORMER CONFORMED NAME: WANGER ADVISORS TRUT DATE OF NAME CHANGE: 19940902 SC 13G/A 1 AU BON PAIN CO. INC. AMEND. #1 ------------------------------ OMB APPROVAL ------------------------------ OMBA Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response . . . 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* --------- Au Bon Pain Co. Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 05010310 ----------------------- (CUSIP Number) *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 the disclosures provided in a prior cover page. 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 8 pages - --------------------- ------------------- CUSIP No. 05010310 13G Page 2 of 8 Pages - --------------------- ------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, L.P. 36-3820584 - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 None NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER 6 BENEFICIALLY 634,000 OWNED BY ------------------------------------------------------------- SOLE DISPOSITIVE POWER EACH 7 None REPORTING ------------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 634,000 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 634,000 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED B AMOUNT IN ROW 9 11 6.30% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - --------------------- ------------------- CUSIP No. 05010310 13G Page 3 of 8 Pages - --------------------- ------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, Ltd. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 None NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER 6 BENEFICIALLY 634,000 OWNED BY ------------------------------------------------------------- SOLE DISPOSITIVE POWER EACH 7 None REPORTING ------------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 634,000 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 634,000 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED B AMOUNT IN ROW 9 11 6.30% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - --------------------- ------------------- CUSIP No. 05010310 13G Page 4 of 8 Pages - --------------------- ------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ralph Wanger - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 None NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER 6 BENEFICIALLY 634,000 OWNED BY ------------------------------------------------------------- SOLE DISPOSITIVE POWER EACH 7 None REPORTING ------------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 634,000 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 634,000 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED B AMOUNT IN ROW 9 11 6.30% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a) Name of Issuer: Au Bon Pain Co. Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 19 Fid Kennedy Avenue Boston, MA 02210 Item 2(a) Name of Person Filing: Wanger Asset Management, L.P. ("WAM"); Wanger Asset Management Ltd., the general partner of WAM ("WAM LTD."); Ralph Wanger ("Wanger") Item 2(b) Address of Principal Business Office: WAM, WAM LTD. and Wanger are all located at: 227 West Monroe Street, Suite 3000 Chicago, Illinois 60606 Item 2(c) Citizenship: WAM is a Delaware limited partnership. WAM LTD. is a Delaware corporation. Wanger is a U.S. citizen. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 05010310 Item 3 Type of Person: (e) WAM is an Investment Adviser registered under section 203 of the Investment Advisers Act of 1940; WAM LTD. is the General Partner of the Investment Adviser; Wanger is the principal stockholder of the General Partner. Page 5 of 8 pages Item 4 Ownership (at December 31, 1996): -- (a) Amount owned "beneficially" within the meaning of rule 13d-3: 634,000 shares (b) Percent of class: 6.30% (based on 10,066,671 shares outstanding as of November 19, 1996) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: none (ii) shared power to vote or to direct the vote: 634,000 (iii) sole power to dispose or to direct the disposition of: none (iv) shared power to dispose or to direct disposition of: 634,000 WAM serves as investment adviser to Acorn Investment Trust, Series Designated Acorn Fund (the "Trust"). Various of WAM's limited partners and employees are also officers and trustees of the Trust, but WAM does not consider the Trust to be controlled by such persons. Although the Trust is not controlled by WAM, pursuant to rule 13d-3(a) the 634,000 shares beneficially owned by the Trust, with respect to which the Trust has delegated to WAM shared voting power and shared dispositive power, are considered to be shares beneficially owned by WAM by reason of such delegated powers. In addition to the shares beneficially owned by the Trust, other clients of WAM may own shares which are not included in the aggregate number of shares reported herein because WAM does not have or share voting or investment power over those shares. Item 5 Ownership of Five Percent or Less of a Class: Not Applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: The shares reported herein have been acquired on behalf of discretionary clients of WAM. Persons other than WAM are entitled to receive all dividends from, and proceeds from the sale of, those shares. Page 6 of 8 pages Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification of Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable 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 purpose or effect. Page 7 of 8 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: February 14, 1997 The undersigned corporation, on the date above written, agrees and consents to the joint filing on its behalf of this Schedule 13G in connection with its beneficial ownership of the security reported herein. WANGER ASSET MANAGEMENT, LTD. for itself and as general partner of WANGER ASSET MANAGEMENT, L.P. By: /s/ Bruce H. Lauer ---------------------------------- Bruce H. Lauer Vice President The undersigned individual, on the date above written, agrees and consents to the joint filing on his behalf of this Schedule 13G in connection with his beneficial ownership of the security reported herein. RALPH WANGER /s/ Ralph Wanger --------------------------------------- Page 8 of 8 pages EX-99.1 2 AU BON PAIN CO. INC. INITIAL FILING - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.__________)* Au Bon Pain Co. Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 05010310 -------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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 the disclosures provided in a prior cover page. 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). - -------------------------------------------------------------------------------- CUSIP NO. 05010310 13G ------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, L.P. 36-3820584 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 834,500 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 834,500 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 834,500 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 7.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IA - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! - -------------------------------------------------------------------------------- CUSIP NO. 05010310 13G ------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, Ltd. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 834,500 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 834,500 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 834,500 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 7.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - -------------------------------------------------------------------------------- CUSIP NO. 05010310 13G ------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ralph Wagner - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 834,500 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 834,500 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 834,500 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 7.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: Au Bon Pain Co. Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 19 Fid Kennedy Avenue Boston, MA 02210 Item 2(a) Name of Person Filing: Wanger Asset Management, L.P. ("WAM"); Wanger Asset Management Ltd., the general partner of WAM ("WAM LTD."); Ralph Wanger ("Wanger") Item 2(b) Address of Principal Business Office: WAM, WAM LTD. and Wanger are all located at: 227 West Monroe Street, Suite 3000 Chicago, Illinois 60606 Item 2(c) Citizenship: WAM is a Delaware limited partnership. WAM LTD. is a Delaware corporation. Wanger is a U.S. citizen. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 05010310 Item 3 Type of Person: (e) WAM is an Investment Adviser registered under section 203 of the Investment Advisers Act of 1940; WAM LTD. is the General Partner of the Investment Adviser; Wanger is the principal stockholder of the General Partner. - -------------------------------------------------------------------------------- Item 4 Ownership (at December 31, 1995): -- (a) Amount owned "beneficially" within the meaning of rule 13d-3: 834,500 shares (b) Percent of class: 7.2% (based on 11,585,000 shares outstanding) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: none (ii) shared power to vote or to direct the vote: 834,500 (iii) sole power to dispose or to direct the disposition of: none (iv) shared power to dispose or to direct disposition of: 834,500 WAM serves as investment adviser to Acorn Investment Trust, Series Designated Acorn Fund (the "Trust"). Various of WAM's limited partners and employees are also officers and trustees of the Trust, but WAM does not consider the Trust to be controlled by such persons. Although the Trust is not controlled by WAM, pursuant to rule 13d-3(a) the 634,000 shares beneficially owned by the Trust, with respect to which the Trust has delegated to WAM shared voting power and shared dispositive power, are considered to be shares beneficially owned by WAM by reason of such delegated powers. In addition to the shares beneficially owned by the Trust, other clients of WAM may own shares which are not included in the aggregate number of shares reported herein because WAM does not have or share voting or investment power over those shares. Item 5 Ownership of Five Percent or Less of a Class: Not Applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: The shares reported herein have been acquired on behalf of discretionary clients of WAM. Persons other than WAM are entitled to receive all dividends from, and proceeds from the sale of, those shares. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification of Members of the Group: - -------------------------------------------------------------------------------- Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable 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 purpose or effect. 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: February 9, 1996 The undersigned corporation, on the date above written, agrees and consents to the joint filing on its behalf of this Schedule 13G in connection with its beneficial ownership of the security reported herein. WANGER ASSET MANAGEMENT, LTD. for itself and as general partner of WANGER ASSET MANAGEMENT, L.P. By: /s/ Robert M. Slotky -------------------------------- Robert M. Slotky Chief Financial Officer The undersigned individual, on the date above written, agrees and consents to the joint filing on his behalf of this Schedule 13G in connection with his beneficial ownership of the security reported herein. RALPH WANGER /s/ Ralph Wanger ----------------- -----END PRIVACY-ENHANCED MESSAGE-----