-----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, Vg12wLs+SC+9ZslOdHMwSSPpdGINQQvopDzpYQYFr/RSELPpR2NiktQa0eeGDV03 6lcEiv2sAi8rzvIUS/1Aqg== 0000950135-97-000799.txt : 19970222 0000950135-97-000799.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000799 CONFORMED SUBMISSION TYPE: SC 13G CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970220 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-42571 FILM NUMBER: 00000000 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: KANE LOUIS I CENTRAL INDEX KEY: 0001034192 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: AU BON PAIN CO STREET 2: 19 FID KENNEDY AVE CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6174232100 SC 13G 1 AU BON PAIN CO., INC. 1 THIS DOCUMENT IS A COPY OF THE SCHEDULE 13G FILED ON FEBRUARY 18, 1997 PURSUANT TO A RULE 201 TEMPORARY HARDSHIP EXEMPTION. 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) Class A Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 050103100 ---------------------------- (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). *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 1 of 6 pages 2 - --------------------------- --------------------------- CUSIP No. 050103100 13G Page 2 of 6 ----------- --- ---- - --------------------------- --------------------------- SCHEDULE 13G - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSONS Louis I. Kane - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [x] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 431,066 NUMBER OF ------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 0 Shares EACH ------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 431,066 Shares ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 0 Shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON. 431,066 Shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9. 3.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 3 - ------------------------ --------------------------- CUSIP No. 050103100 13G Page 3 of 6 --------- --- ---- - ------------------------ --------------------------- 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 02148 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 02210 Item 2(c). Citizenship: ------------ United States Item 2(d). Title of Class of Securities: ----------------------------- Class A Common Stock, par value $.0001 per share Item 2(e). CUSIP Number: ------------- 050103100 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a). [ ] Broker of Dealer registered under Section 15 of the Act; (b). [ ] Bank as defined in Section 3(a)(6) of the Act; (c). [ ] Insurance Company as defined in Section 3(a)(19) of the Act; (d). [ ] Investment Company registered under Section 8 of the Investment Company Act; (e). [ ] Investment Advisor registered under Section 203 of the Investment Advisers Act of 1940; (f). [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974, or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F); (g). [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii) (G)(Note: see Item 7); (h). [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Item 4. Ownership --------- If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds 4 - ------------------------ --------------------------- CUSIP No. 050103100 13G Page 4 of 6 --------- --- ---- - ------------------------ --------------------------- five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: 431,066 Mr. Louis I. Kane's beneficial ownership consists of (1) 277,330 stock options vested and exercisable presently or within 60 days to acquire a like number of shares of Class A Common Stock, and (2) 153,736 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: 3.6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 431,066 shares; (ii) shared power to vote or to direct the vote: 0 shares; (iii) sole power to dispose or to direct the disposition of: 431,066 shares; (iv) shared power to dispose or to direct the disposition of: 0 shares; Due to the fact that each share of Class A Common Stock is entitled to one vote on all matters submitted to stockholders 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 6% 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 []. 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 5 - ------------------------ --------------------------- CUSIP No. 050103100 13G Page 5 of 6 --------- --- ---- - ------------------------ --------------------------- 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 parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(H), so indicate under Item 3(b) 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(c), attach an exhibit stating the identity of each member of the group. Inapplicable Item 9. Notice of Dissolution of Group: ------------------------------- Inapplicable Item 10. Certification: -------------- Inapplicable
6 - ------------------------ --------------------------- CUSIP No. 050103100 13G Page 6 of 6 --------- --- ---- - ------------------------ --------------------------- 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 12, 1997 -------------------------------------- Signature: /s/Louis I. Kane --------------------------------- Name/Title: Louis I. Kane --------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----