-----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, Twdbt+HTPtL4KeaINoIlqKEj8LZ/7z+37HqLhkO+qDyiwFm9gKCueiUIDcoZ1D5y 4Br3+ptKFZVLk3DnxWkzUg== 0001169232-07-000446.txt : 20070201 0001169232-07-000446.hdr.sgml : 20070201 20070201160411 ACCESSION NUMBER: 0001169232-07-000446 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070201 DATE AS OF CHANGE: 20070201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WILD OATS MARKETS INC CENTRAL INDEX KEY: 0000909990 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CONVENIENCE STORES [5412] IRS NUMBER: 841100630 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49055 FILM NUMBER: 07571895 BUSINESS ADDRESS: STREET 1: 3375 MITCHELL LANE CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 3034405220 MAIL ADDRESS: STREET 1: 1645 BROADWAY CITY: BOULDER STATE: CO ZIP: 80302 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Aletheia Research & Management, Inc. CENTRAL INDEX KEY: 0001302506 IRS NUMBER: 954647814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 310-899-0800 MAIL ADDRESS: STREET 1: 100 WILSHIRE BOULEVARD STREET 2: SUITE 960 CITY: SANTA MONICA STATE: CA ZIP: 90401 SC 13G 1 d70643_sc13g.txt INITIAL STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 WILD OATS MARKETS INC. (Name of Issuer) Common Stock, $.001 par value per share (Title and Class of Securities) 96808B107 (CUSIP Number) December 31, 2006 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this schedule is filed: |X| Rule 13d-1(b) |_| Rule 13d-1(c) |_| Rule 13d-1(d) *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 (the "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. 96808B107 Page 2 of 6 Pages - ---------------------------- ------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ALETHEIA RESEARCH AND MANAGEMENT, INC., IRS number 95-4647814, as general partner of various limited partnerships and on behalf of various managed accounts. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 1,995,327 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,995,327 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,995,327 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.76% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* Aletheia Research and Management, Inc.- CO - -------------------------------------------------------------------------------- 2 - ---------------------------- ------------------------- CUSIP No. 96808B107 Page 3 of 6 Pages - ---------------------------- ------------------------- Item 1(a). Name of Issuer: Wild Oats Markets Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 3375 Mitchell Lane, Boulder, CO 80201 Item 2(a). Name of Person Filing: Aletheia Research and Management, Inc. Item 2(b). Address of Principal Business Office or, if None, Residence: 100 Wilshire Boulevard, Suite 1960, Santa Monica, CA 90401 Item 2(c). Citizenship: Not Applicable. Item 2(d). Title of Class of Securities: Common Stock, $.001 par value. Item 2(e). CUSIP Number: 96808B107 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or 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) |X| Investment Adviser registered in accordance with Rule 13d-1(b)(1)(ii)(E). 3 - ---------------------------- ------------------------- CUSIP No. 96808B107 Page 4 of 6 Pages - ---------------------------- ------------------------- (f) |_| Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) |_| Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c) (14) of the Investment Company Act of 1940. (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this Statement is filed pursuant to Rule 13d-1(c), check this box |_|. Item 4. Ownership. (a) Amount beneficially owned: 1,995,327 (b) Percent of Class: 6.76% (c) Number of Shares as to which the person has: (i) Sole power to vote or to direct the vote: 1,995,327 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,995,327 (iv) Shared Power to dispose or to direct the disposition of: 0 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. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. 4 - ---------------------------- ------------------------- CUSIP No. 96808B107 Page 5 of 6 Pages - ---------------------------- ------------------------- 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 not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE Date: February 1, 2007 ALETHEIA RESEARCH AND MANAGEMENT, INC., By: /s/ Roger Peikin ---------------------------------------- Name: Roger Peikin Title: Executive Vice-President 5 EXHIBIT A DISCLAIMER OF BENEFICIAL OWNERSHIP Wild Oats Markets Inc. Common Stock 1,995,327 shares Aletheia Research and Management, Inc. disclaims beneficial ownership as to certain or all of the shares being reported as beneficially owned herein for Section 13(g) filing purposes. 6 -----END PRIVACY-ENHANCED MESSAGE-----