-----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, LSk8RtZyEM86pPWBwpHFG/UjzYmBz8NrIqmXhokK/dYDAoG6DKphS/nRRHRi65mR eLg+mhZBiBJdUN+JZr7yNQ== 0000950147-96-000634.txt : 19961204 0000950147-96-000634.hdr.sgml : 19961204 ACCESSION NUMBER: 0000950147-96-000634 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961203 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAIN STREET & MAIN INC CENTRAL INDEX KEY: 0000847466 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 112948370 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41360 FILM NUMBER: 96675198 BUSINESS ADDRESS: STREET 1: 5050 NORTH 40TH ST STREET 2: STE 200 CITY: PHOENIX STATE: AZ ZIP: 85018 BUSINESS PHONE: 6028529000 MAIL ADDRESS: STREET 1: 5050 NORTH 40TH ST STREET 2: STE 200 CITY: PHOENIX STATE: AZ ZIP: 85018 FORMER COMPANY: FORMER CONFORMED NAME: ASSETRONICS INC DATE OF NAME CHANGE: 19900702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ANTIOCO JOHN F CENTRAL INDEX KEY: 0001026597 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5050 N 40TH ST STREET 2: SUITE 200 CITY: PHOENIX STATE: AZ ZIP: 85018 BUSINESS PHONE: 6028529000 MAIL ADDRESS: STREET 1: 5050 N 40TH ST STREET 2: SUITE 200 CITY: PHOENIX STATE: AZ ZIP: 85018 SC 13D/A 1 FORM SC 13D/A -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours to perform .. 14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Main Street and Main Incorporated --------------------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 560345 30 8 -------------------------------- (CUSIP Number) John F. Antioco, c/o Main Street and Main Incorporated 5050 N. 40th Street, Suite 200, Phoenix, Arizona 85018, (602) 852-9000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 19, 1996 ----------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). SEC 1746 (12-91) SCHEDULE 13D - ----------------------- ------------------ CUSIP NO. 560345 30 8 Page 2 of 4 Pages ----------- ------------------ - ----------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John F. Antioco ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 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 States ================================================================================ 7 SOLE VOTING POWER 925,000 NUMBER OF ------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 925,000 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 925,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. - ----------------------- ------------------ CUSIP NO. 560345 30 8 Page 3 of 4 Pages ------------ - ----------------------- ------------------ Item 1. Security and Issuer This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D relating to the event date of August 5, 1996, as filed by John F. Antioco relating to shares of common stock (the "Common Stock") of Main Street and Main Incorporated, a Delaware corporation, with principal executive offices located at 5050 North 40th Street, Suite 200, Phoenix, Arizona 85018. Item 3. Source and Amount of Funds or Other Consideration Item 3 of the Schedule 13D is hereby amended to add the following: From November 15, 1996 through November 19, 1996, the reporting person used personal funds totalling $93,625 to acquire an aggregate of 53,500 shares of Common Stock. Item 4. Purpose of Transaction Item 4(a) for the Schedule 13D is hereby amended to add the following: (a) The sole purpose of all of the acquisitions by the reporting person from November 15, 1996 through November 19, 1996, as described herein, was and is for investment. Item 5. Interest in Securities of the Issuer Item 5 of the Schedule 13D is hereby amended in its entirety to read as follows: (a) The aggregate number of shares of Common Stock beneficially owned by the reporting person as of November 19, 1996 is 925,000 shares, which represents approximately 10.7% of the total Common Stock outstanding. This number includes an aggregate of 217,500 shares of Common Stock issuable upon exercise of currently exercisable options, but does not include 600,000 shares issuable upon exercise of options that are not exercisable within 60 days of the date of this Amendment No. 1 to Schedule 13D. (b) The reporting person has sole voting and dispositive power over the 925,000 shares of Common Stock beneficially owned. This number includes currently exercisable options to acquire an aggregate of 217,500 shares of Common Stock but does not include options to acquire an additional 600,000 shares of Common Stock that are not exercisable within 60 days of this Amendment No. 1 to Schedule 13-D. (c) The reporting person effected the following transactions within 60 days of November 19, 1996: Date Type of Transaction Number of Shares Price Per Share ---- ------------------- ---------------- --------------- November 15, 1996 Purchase 28,000 $1.75 November 18, 1996 Purchase 11,000 $1.75 November 19, 1996 Purchase 14,500 $1.75 - ----------------------- ------------------ CUSIP NO. 560345 30 8 Page 4 of 4 Pages ------------ - ----------------------- ------------------ All of the transactions described above were effected through open market purchases. (d) Not applicable. (e) Not applicable. 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: November 27, 1996 /s/ John F. Antioco ------------------------------- John F. Antioco POO138BF -----END PRIVACY-ENHANCED MESSAGE-----