0000921895-13-001890.txt : 20130912 0000921895-13-001890.hdr.sgml : 20130912 20130912182140 ACCESSION NUMBER: 0000921895-13-001890 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130910 FILED AS OF DATE: 20130912 DATE AS OF CHANGE: 20130912 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BAB, INC. CENTRAL INDEX KEY: 0001123596 STANDARD INDUSTRIAL CLASSIFICATION: BAKERY PRODUCTS [2050] IRS NUMBER: 364389547 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 500 LAKE COOK ROAD STREET 2: SUITE 475 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 847 948-7520 MAIL ADDRESS: STREET 1: 500 LAKE COOK ROAD STREET 2: SUITE 475 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: BAB INC DATE OF NAME CHANGE: 20000912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pappas James C CENTRAL INDEX KEY: 0001462171 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31555 FILM NUMBER: 131094985 MAIL ADDRESS: STREET 1: 920 1/2 KNOX STREET CITY: HOUSTON STATE: TX ZIP: 77007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JCP Investment Holdings, LLC CENTRAL INDEX KEY: 0001461948 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31555 FILM NUMBER: 131094986 BUSINESS ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 BUSINESS PHONE: 713-201-6910 MAIL ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JCP Investment Partners, LP CENTRAL INDEX KEY: 0001461947 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31555 FILM NUMBER: 131094987 BUSINESS ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 BUSINESS PHONE: 713-201-6910 MAIL ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JCP Investment Partnership, LP CENTRAL INDEX KEY: 0001461946 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31555 FILM NUMBER: 131094988 BUSINESS ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 BUSINESS PHONE: 713-201-6910 MAIL ADDRESS: STREET 1: 13939 NORTHWEST FREEWAY STREET 2: SUITE 200 CITY: HOUSTON STATE: TX ZIP: 77040 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JCP Investment Management, LLC CENTRAL INDEX KEY: 0001461945 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31555 FILM NUMBER: 131094989 BUSINESS ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1650 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: 713-201-6910 MAIL ADDRESS: STREET 1: 1177 WEST LOOP SOUTH STREET 2: SUITE 1650 CITY: HOUSTON STATE: TX ZIP: 77027 4 1 form408569006_09102013.xml OWNERSHIP DOCUMENT X0306 4 2013-09-10 0 0001123596 BAB, INC. BABB 0001461945 JCP Investment Management, LLC 1177 WEST LOOP SOUTH SUITE 1650 HOUSTON TX 77027 0 0 1 0 0001461946 JCP Investment Partnership, LP 1177 WEST LOOP SOUTH SUITE 1650 HOUSTON TX 77027 0 0 1 0 0001461947 JCP Investment Partners, LP 11177 WEST LOOP SOUTH SUITE 1650 HOUSTON TX 77027 0 0 1 0 0001461948 JCP Investment Holdings, LLC 1177 WEST LOOP SOUTH SUITE 1650 HOUSTON TX 77027 0 0 1 0 0001462171 Pappas James C 1177 WEST LOOP SOUTH SUITE 1650 HOUSTON TX 77027 0 0 1 0 Common Stock, par value $0.001 per share 2013-09-10 4 P 0 15000 .8767 A 802620 I By JCP Investment Partnership, LP This Form 4 is filed jointly by JCP Investment Partnership, LP ("JCP Partnership"), JCP Investment Partners, LP ("JCP Partners"), JCP Investment Holdings, LLC ("JCP Holdings"), JCP Investment Management, LLC ("JCP Management") and James C. Pappas (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. Represents shares of Common Stock owned directly by JCP Partnership. As the general partner of JCP Partnership, JCP Partners may be deemed to beneficially own the shares of Common Stock owned directly by JCP Partnership. As the general partner of JCP Partners, JCP Holdings may be deemed to beneficially own the shares of Common Stock owned directly by JCP Partnership. As the investment manager of JCP Partnership, JCP Management may be deemed to beneficially own the shares of Common Stock owned directly by JCP Partnership. As the managing member of JCP Management and the sole member of JCP Holdings, Mr. Pappas may be deemed to beneficially own the shares of Common Stock owned directly by JCP Partnership. By: James C. Pappas 2013-09-12 By:JCP Investment Management, LLC, By: /s/ James C. Pappas, Managing Member 2013-09-12 By:JCP Investment Holdings, LLC, By: /s/ James C. Pappas, Sole Member 2013-09-12 By: JCP Investment Partners, LP, By: JCP Investment Holdings, LLC, General Partner, By: /s/James C. Pappas, Sole Member 2013-09-12 By: JCP Investment Partnership, LP, By: JCP Investment Management, LLC, Investment Manager, By: /s/James C. Pappas, Managing Member 2013-09-12