-----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, UpHhTeSp/nB0yzvCjr6HLfabKoRgsu2QqHIR3+yPiQXCcTmnLuL407fjslk1aXqW 05TAH9qbACq0M0oSaGDSUw== 0001017918-02-000058.txt : 20021112 0001017918-02-000058.hdr.sgml : 20021111 20021112164504 ACCESSION NUMBER: 0001017918-02-000058 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20021112 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMART & FINAL INC/DE CENTRAL INDEX KEY: 0000875751 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & RELATED PRODUCTS [5140] IRS NUMBER: 954079584 STATE OF INCORPORATION: DE FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41809 FILM NUMBER: 02817612 BUSINESS ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: CITY OF COMMERCE STATE: CA ZIP: 90040 BUSINESS PHONE: 3238697500 MAIL ADDRESS: STREET 1: 600 CITADEL DRIVE CITY: CITY OF COMMERCE STATE: CA ZIP: 90040 FORMER COMPANY: FORMER CONFORMED NAME: SFI CORP /CA DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAMCO INC /NY/ CENTRAL INDEX KEY: 0001017918 IRS NUMBER: 133390015 STATE OF INCORPORATION: NY FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 SC 13D/A 1 smf15body.txt SCHEDULE 13D/A FOR SMART & FINAL INC. SC 13D/A Amendment Number 15 to Schedule 13D Page 1 of 11 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* SMART & FINAL, INC. ----------------------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------------------- (Title of Class of Securities) 831683107 ----------------------------------------------------- (CUSIP Number) Linda S. Martinson, Esq. (212) 583-2000 767 Fifth Avenue, 49th Floor, New York, NY 10153 ----------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 5, 2002 ----------------------------------------------------- (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 [ ]. Check the following box if a fee is being paid with this statement [ ]. (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 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) Amendment Number 15 to Schedule 13D (continued) CUSIP No. 831683107 Page 2 of 11 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Baron Capital Group, Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(C) OR 2(E) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY ------------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER EACH 5,075,325 REPORTING ------------------------------------------------------------ PERSON 9 SOLE DISPOSITIVE POWER WITH ------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 5,075,325 - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,075,325 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 17.25% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* HC, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT Amendment Number 15 to Schedule 13D (continued) CUSIP No. 831683107 Page 3 of 11 Pages - ----------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BAMCO, Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(C) OR 2(E) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY ------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 3,507,400 REPORTING ------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 3,507,400 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,507,400 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.92% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IA, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT Amendment Number 15 to Schedule 13D (continued) CUSIP No. 831683107 Page 4 of 11 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Baron Capital Management, Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(C) OR 2(E) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY ------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 1,567,925 REPORTING ------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,567,925 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,567,925 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.33% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IA, CO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT Amendment Number 15 to Schedule 13D (continued) CUSIP No. 831683107 Page 5 of 11 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Baron Asset Fund - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(C) OR 2(E) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY ------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 2,441,900 REPORTING ------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,441,900 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,441,900 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.30% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IV, OO - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT Amendment Number 15 to Schedule 13D (continued) CUSIP No. 831683107 Page 6 of 11 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ronald Baron - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(C) OR 2(E) [ ] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES 19,300 BENEFICIALLY ------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 5,075,325 REPORTING ------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 19,300 ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 5,075,325 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,094,625 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 17.31% - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT Page 7 of 11 Pages Item 1. Security and Issuer (a) Name of Issuer: Smart & Final, Inc. (b) Address of Issuer's Principal Executive Offices: 600 Citadel Drive City of Commerce, CA 90040 (c) Title and Class of Securities: Common Stock Item 2. Identity and Background (a) Name: Baron Capital Group, Inc. ("BCG") BAMCO, Inc. ("BAMCO") Baron Capital Management, Inc. ("BCM") Baron Asset Fund ("BAF") Ronald Baron (b) Business Address: 767 Fifth Avenue New York, NY 10153 (c) Present Principal Business or Employment: BCG: Holding company BAMCO: Investment adviser BCM: Investment adviser BAF: Registered investment company Ronald Baron: CEO: BCG, BAMCO, BCM; BAF 767 Fifth Avenue New York, NY 10153 (d) Record of Convictions: No material change. (e) Record of Civil Proceedings: No material change. (f) Citizenship: No material change. Item 3. Source and Amount of Funds or Other Consideration No material change. Page 8 of 11 Pages Item 4. Purpose of Transaction No material change. Item 5. Interest in Securities of the Issuer (a) Amount and percentage beneficially owned*: BCG: 5,075,325 17.25% BAMCO: 3,507,400 11.92% BCM: 1,567,925 5.33% BAF: 2,441,900 8.30% Ronald Baron: 5,094,625 17.31% (b) Number of shares as to which such person has: (i) sole power to vote or direct the vote: BCG: 0 BAMCO: 0 BCM: 0 BAF: 0 Ronald Baron: 19,300 (ii) shared power to vote or direct the vote: BCG: 5,075,325 BAMCO: 3,507,400 BCM: 1,567,925 BAF: 2,441,900 Ronald Baron: 5,075,325 (iii) sole power to dispose or to direct the disposition: BCG: 0 BAMCO: 0 BCM: 0 BAF: 0 Ronald Baron: 19,300 (iv) shared power to dispose or direct the disposition: BCG: 5,075,325 BAMCO: 3,507,400 BCM: 1,567,925 BAF: 2,441,900 Ronald Baron: 5,075,325 *Reporting Persons may be deemed to share power to vote and dispose of shares referred to herein as a result of control relationships (BCG and Ronald Baron with respect to all of the shares; BAMCO with respect to the BAF shares) and pursuant to investment advisory relationships with advisory clients. Reporting Persons disclaim beneficial ownership of the shares for which they share power. (c) A schedule of transactions effected in the last sixty days is attached hereto. Page 9 of 11 Pages (d) Ownership of More than Five Percent on Behalf of Another Person: No material change. (e) Ownership of Less than Five Percent: Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer No material change. Item 7. Material to be Filed as Exhibits Exhibit 99 - 60 days of trading. 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 12, 2002 Baron Capital Group, Inc., BAMCO, Inc., Baron Capital Management, Inc. and Baron Asset Fund By: /s/ Ronald Baron _______________________________________ Ronald Baron, Chairman and CEO EX-99 4 transsmf15.txt TRANSACTION SCHEDULE FOR SMART & FINAL INC. Smart and Final Transaction Schedule From 09-09-02 To 11-08-02 Exec. Date Account ID Activity Quantity Price - -------- ------------ ---------- ---------- --------- 9/25/02 bcm sl 1600 4.0900 9/26/02 bcm sl 3500 4.1214 9/27/02 bcm sl 3500 4.0500 10/24/02 bcm sl 6999 5.4330 10/28/02 bcm sl 238 6.0200 10/31/02 bcm sl 700 5.8136 10/31/02 bamco sl 1500 5.8136 11/1/02 bamco sl 10000 5.9328 11/1/02 bamco sl 1200 6.0350 11/1/02 bamco sl 13800 5.9977 11/1/02 bcm sl 5933 5.9934 11/1/02 bcm sl 2162 5.9328 11/1/02 bcm sl 338 5.9328 11/1/02 bamco sl 3500 5.9328 11/4/02 bcm sl 9400 6.0500 11/4/02 bcm sl 10400 6.1213 11/5/02 bamco sl 14800 6.0041 11/5/02 bamco sl 5400 6.0045 11/5/02 bcm sl 700 6.0041 11/5/02 bcm sl 300 6.0045 11/5/02 bcm sl 200 6.0041 11/5/02 bcm sl 500 6.0042 11/5/02 bcm sl 1400 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 1000 6.0041 11/5/02 bcm sl 300 6.0045 11/5/02 bcm sl 3000 6.0041 11/5/02 bcm sl 1000 6.0045 11/5/02 bcm sl 1400 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 3000 6.0041 11/5/02 bcm sl 1000 6.0045 11/5/02 bcm sl 600 6.0041 11/5/02 bcm sl 100 6.0045 11/5/02 bcm sl 1500 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 1500 6.0000 11/5/02 bcm sl 1200 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 1500 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 400 6.0042 11/5/02 bcm sl 4200 6.0041 11/5/02 bcm sl 1400 6.0045 11/5/02 bcm sl 1500 6.0041 11/5/02 bcm sl 400 6.0045 11/5/02 bcm sl 4000 6.0041 11/5/02 bcm sl 1200 6.0045 11/5/02 bcm sl 2400 6.0041 11/5/02 bcm sl 800 6.0045 11/5/02 bcm sl 900 6.0041 11/5/02 bcm sl 300 6.0045 11/6/02 bamco sl 11400 6.0421 11/7/02 bamco sl 1200 5.8850 11/8/02 bamco sl 300 5.9267 -----END PRIVACY-ENHANCED MESSAGE-----