0001104659-20-021883.txt : 20200214 0001104659-20-021883.hdr.sgml : 20200214 20200214163110 ACCESSION NUMBER: 0001104659-20-021883 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 GROUP MEMBERS: J. WAYNE WEAVER 2018 GRANTOR RETAINED ANNUITY TRUST FOR BRADLEY WAYNE WEAVER SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHOE CARNIVAL INC CENTRAL INDEX KEY: 0000895447 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-SHOE STORES [5661] IRS NUMBER: 351736614 STATE OF INCORPORATION: IN FISCAL YEAR END: 0202 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42925 FILM NUMBER: 20620762 BUSINESS ADDRESS: STREET 1: 7500 EAST COLUMBIA STREET CITY: EVANSVILLE STATE: IN ZIP: 47715 BUSINESS PHONE: 8128676471 MAIL ADDRESS: STREET 1: 7500 EAST COLUMBIA STREET CITY: EVANSVILLE STATE: IN ZIP: 47715 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WEAVER BRADLEY W CENTRAL INDEX KEY: 0001157674 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 8233 BAUMGART ROAD CITY: EVANSVILLE STATE: IN ZIP: 47725 SC 13G/A 1 a20-7761_2sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

 

Shoe Carnival, Inc.

(Name of Issuer)

Common Stock, $0.01 par value per share

(Title of Class of Securities)

824889109

(CUSIP Number)

December 31, 2019

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

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 (“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).

 

(continued on the following pages)

 


 

CUSIP No. 824889109

13G

 

 

 

1

Names of Reporting Persons
Bradley W. Weaver

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5

Sole Voting Power
654,404 (1)

 

6

Shared Voting Power
0

 

7

Sole Dispositive Power
654,404 (1)

 

8

Shared Dispositive Power
0

 

 

9

Aggregate Amount Beneficially Owned by Each Reporting Person
654,404 (1)

 

 

10

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

N/A

 

 

11

Percent of Class Represented by Amount in Row (9)
4.6% (1) (2)

 

 

12

Type of Reporting Person (See Instructions)
IN

 


(1)   Represents shares held by the J. Wayne Weaver 2018 Grantor Retained Annuity Trust for Bradley Wayne Weaver (the “2018 GRAT”) after the distribution of 345,596 shares from the 2018 GRAT to J. Wayne Weaver as an annuity payment on May 20, 2019, in accordance with the terms of the 2018 GRAT.  Bradley W. Weaver is the sole trustee of the 2018 GRAT and, as sole trustee, has sole voting and dispositive power with respect to the shares held by the 2018 GRAT.

 

(2)   Based on 14,193,253 outstanding shares of the Issuer’s common stock as of November 27, 2019, as reported by the Issuer in its Quarterly Report on Form 10-Q for the period ended November 2, 2019, filed with the Securities and Exchange Commission on December 5, 2019.

 

2


 

CUSIP No. 824889109

13G

 

 

 

1

Names of Reporting Persons
J. Wayne Weaver 2018 Grantor Retained Annuity Trust for Bradley Wayne Weaver

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
Florida

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5

Sole Voting Power
654,404 (1)

 

6

Shared Voting Power
0

 

7

Sole Dispositive Power
654,404 (1)

 

8

Shared Dispositive Power
0

 

 

9

Aggregate Amount Beneficially Owned by Each Reporting Person
654,404 (1)

 

 

10

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

N/A

 

 

11

Percent of Class Represented by Amount in Row (9)
4.6% (1) (2)

 

 

12

Type of Reporting Person (See Instructions)
OO

 


(1)   Represents shares held by the 2018 GRAT after the distribution of 345,596 shares from the 2018 GRAT to J. Wayne Weaver as an annuity payment on May 20, 2019, in accordance with the terms of the 2018 GRAT.  Bradley W. Weaver, as the sole trustee of the 2018 GRAT, has sole voting and dispositive power over these shares.

 

(2)   Based on 14,193,253 outstanding shares of the Issuer’s common stock as of November 27, 2019, as reported by the Issuer in its Quarterly Report on Form 10-Q for the period ended November 2, 2019, filed with the Securities and Exchange Commission on December 5, 2019.

 

3


 

Item 1.

 

(a)

Name of Issuer
Shoe Carnival, Inc. (the “Issuer”)

 

(b)

Address of Issuer’s Principal Executive Offices
7500 East Columbia Street

Evansville, Indiana 47715

 

Item 2.

 

(a)

Name of Person Filing

(i)    Bradley W. Weaver

(ii)   J. Wayne Weaver 2018 Grantor Retained Annuity Trust for Bradley Wayne Weaver (the “2018 GRAT”)

 

Mr. Weaver serves as the sole trustee of the 2018 GRAT.

 

(b)

Address of Principal Business Office or, if none, Residence

(i)    Bradley W. Weaver
24 Roy Street #26
Seattle, WA 98109

 

(ii)   2018 GRAT
c/o DAR Group Investments
501 Riverside Avenue
Suite 900
Jacksonville, FL 32202

 

(c)

Citizenship

(i)    Bradley W. Weaver:   United States

(ii)   The 2018 GRAT is a trust formed under the laws of the State of Florida

 

(d)

Title of Class of Securities
Common Stock, par value $0.01 per share (“Common Stock”)

 

(e)

CUSIP Number
824889109

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

Broker or dealer registered under section 15 of the Act.

 

(b)

o

Bank as defined in section 3(a)(6) of the Act.

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act.

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940.

 

(e)

o

An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).

 

(f)

o

An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).

 

(g)

o

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.

 

(i)

o

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)

o

A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 

(k)

o

Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

 

4


 

Item 4.

Ownership

 

(a)

Amount beneficially owned   

(i)    Bradley W. Weaver:   654,404 shares*

(ii)   2018 GRAT:                                                 654,404 shares**

 


 

 

 

*    Includes 654,404 shares held by the 2018 GRAT.  Mr. Weaver is the sole trustee of the 2018 GRAT and, as sole trustee, has sole voting and dispositive power with respect to the shares held by the 2018 GRAT.

**  Mr. Weaver is the sole trustee of the 2018 GRAT.

 

 

(b)

Percent of class   

(i)            Bradley W. Weaver:           4.6%

(ii)           2018 GRAT:                                                                            4.6%

 

The percentage of shares beneficially owned is based on 14,193,253 outstanding shares of the Issuer’s common stock as of November 27, 2019, as reported by the Issuer in its Quarterly Report on Form 10-Q for the period ended November 2, 2019, filed with the Securities and Exchange Commission on December 5, 2019.

 

(c)

Number of shares as to which such person has:

 

 

(i)

Sole power to vote or to direct the vote   

(i)            Bradley W. Weaver:           654,404

(ii)           2018 GRAT:                                                                            654,404

 

 

(ii)

Shared power to vote or to direct the vote    

(i)            Bradley W. Weaver:           0

(ii)           2018 GRAT:                                                                            0

 

 

(iii)

Sole power to dispose or to direct the disposition of   

(i)            Bradley W. Weaver:           654,404

(ii)           2018 GRAT:                                                                            654,404

 

 

(iv)

Shared power to dispose or to direct the disposition of   

(i)            Bradley W. Weaver:           0

(ii)           2018 GRAT:                                                                            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   x.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

The 654,404 shares reported are held by the 2018 GRAT established by J. Wayne Weaver, Bradley W. Weaver’s father, over which shares Bradley W. Weaver, as the sole trustee of the 2018 GRAT, has sole voting and dispositive power.  Under the terms of the 2018 GRAT, J. Wayne Weaver receives annuity payments from the 2018 GRAT during its two-year term, and any amounts remaining after such annuity payments to J. Wayne Weaver are distributable to or for the benefit of  Bradley W. Weaver.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

Not Applicable

 

5


 

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, other than activities solely in connection with a nomination under § 240.14a-11.

 

 

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 14, 2020

 

 

 

 

 

 

 

 

 

 

By:

/s/ Bradley W. Weaver

 

 

 

Bradley W. Weaver

 

 

 

 

 

 

 

 

 

 

J. WAYNE WEAVER 2018 GRANTOR RETAINED

 

 

ANNUITY TRUST FOR BRADLEY WAYNE WEAVER

 

 

 

 

 

 

 

 

 

 

By:

/s/ Bradley W. Weaver

 

 

 

Bradley W. Weaver, Trustee

 

 

 

7


 

EXHIBIT INDEX

 

Exhibit Number

 

Exhibit

99.1

 

Joint Filing Agreement dated February 14, 2020 by and between Bradley W. Weaver and the J. Wayne Weaver 2018 Grantor Retained Annuity Trust for Bradley Wayne Weaver

 

8


EX-99.1 2 a20-7761_2ex99d1.htm EX-99.1

Exhibit 99.1

 

JOINT FILING AGREEMENT

 

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to certain shares of the common stock of Shoe Carnival, Inc. and further agree that this Joint Filing Agreement shall be included as an exhibit to such joint filing.

 

The undersigned further agree that each party hereto is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein; provided, however, that no party is responsible for the completeness or accuracy of the information concerning any other party making the filing, unless such party knows or has reason to believe that such information is inaccurate.

 

IN WITNESS WHEREOF, the parties have executed this Joint Filing Agreement as of February 14, 2020.

 

By:

/s/ Bradley W. Weaver

 

 

Bradley W. Weaver

 

 

 

 

 

 

 

J. WAYNE WEAVER 2018 GRANTOR RETAINED

 

ANNUITY TRUST FOR BRADLEY WAYNE WEAVER

 

 

 

 

 

 

 

By:

/s/ Bradley W. Weaver

 

 

Bradley W. Weaver, Trustee