-----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, OoI/wq5PggPvCOqhFssok9KlKpdna1ZiEPBUhT6+6z/KimhxNRh+gS0xuTWtfNDn 0mYB2Ru5Yxa25fYMdPBQrA== 0000950131-98-000661.txt : 19980206 0000950131-98-000661.hdr.sgml : 19980206 ACCESSION NUMBER: 0000950131-98-000661 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980205 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: SEC FILE NUMBER: 005-42571 FILM NUMBER: 98522031 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. - AMENDMENT #2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* --------- 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 6.23% - -------------------------------------------------------------------------------- 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 6.23% - -------------------------------------------------------------------------------- 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 Acorn Investment Trust - -------------------------------------------------------------------------------- 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 Massachusetts - -------------------------------------------------------------------------------- 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 6.23% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IV - -------------------------------------------------------------------------------- *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."); Acorn Investment Trust ("Acorn") Item 2(b) Address of Principal Business Office: WAM, WAM LTD. and Acorn 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. Acorn is a Massachusetts business trust. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 05010310 Item 3 Type of Person: (d) Acorn is an investment company registered under section 8 of the Investment Company Act of 1940. (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, 1997): -- (a) Amount owned "beneficially" within the meaning of rule 13d-3: 634,000 shares (b) Percent of class: 6.23% (based on 10,180,874 shares outstanding as of November 12, 1997) (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 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, including Acorn. Persons other than WAM and WAM LTD are entitled to receive all dividends from, and proceeds from the sale of, those shares. Acorn is the only such person known to be entitled to receive all dividends from, and proceeds from, the sale of those shares reported herein to the extent of more than 5% of the class. 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 5, 1998 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, 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. ACORN INVESTMENT TRUST By: /s/ Bruce H. Lauer --------------------------------------- Bruce H. Lauer Vice President and Treasurer Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----