0001193125-22-069323.txt : 20220308 0001193125-22-069323.hdr.sgml : 20220308 20220308162729 ACCESSION NUMBER: 0001193125-22-069323 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20220308 DATE AS OF CHANGE: 20220308 GROUP MEMBERS: SI HOLDINGS INC. GROUP MEMBERS: STEPHENS FINANCIAL SERVICES LLC GROUP MEMBERS: WARREN A. STEPHENS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KURA SUSHI USA, INC. CENTRAL INDEX KEY: 0001772177 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 263808434 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-91411 FILM NUMBER: 22722079 BUSINESS ADDRESS: STREET 1: 17461 DERIAN AVE. STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 9497481786 MAIL ADDRESS: STREET 1: 17461 DERIAN AVE. STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEPHENS INC /AR/ CENTRAL INDEX KEY: 0000757657 IRS NUMBER: 710641478 STATE OF INCORPORATION: AR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 111 CENTER ST CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 501-377-2000 MAIL ADDRESS: STREET 1: 111 CENTRE STREET CITY: LITTLE ROCK STATE: AR ZIP: 72201 SC 13G/A 1 d277773dsc13ga.htm SC 13G/A SC 13G/A

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 3)

 

 

KURA SUSHI USA, INC.

(Name of Issuer)

Class A Common Stock, par value $0.001 per share

(Title of Class of Securities)

501270102

(CUSIP Number)

February 28, 2022

(Date of Event Which Requires Filing of this Statement)

 

 

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

☒ 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 (“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).

 

 

 

SCHEDULE 13G

CUSIP NO. 501270102

 

  1.    

  NAMES OF REPORTING PERSONS

 

  Stephens Inc.

  2.  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☒

 

  3.  

  SEC USE ONLY

 

  4.  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Arkansas

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With:

    5.     

  SOLE VOTING POWER

 

  896,091

   6.   

  SHARED VOTING POWER

 

  0

   7.   

  SOLE DISPOSITIVE POWER

 

  0

   8.   

  SHARED DISPOSITIVE POWER

 

  896,091

  9.    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  896,091

10.  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

  ☐

11.  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  10.3%

12.  

  TYPE OF REPORTING PERSON

 

  IA

SCHEDULE 13G

CUSIP NO. 501270102

 

  1.    

  NAMES OF REPORTING PERSONS

 

  SI Holdings Inc.

  2.  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☒

 

  3.  

  SEC USE ONLY

 

  4.  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Arkansas

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With:

    5.     

  SOLE VOTING POWER

 

  896,091

   6.   

  SHARED VOTING POWER

 

  0

   7.   

  SOLE DISPOSITIVE POWER

 

  0

   8.   

  SHARED DISPOSITIVE POWER

 

  896,091

  9.    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  896,091

10.  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

  ☐

11.  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  10.3%

12.  

  TYPE OF REPORTING PERSON

 

  HC

SCHEDULE 13G

CUSIP NO. 501270102

 

  1.    

  NAMES OF REPORTING PERSONS

 

  Stephens Financial Services LLC

  2.  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☒

 

  3.  

  SEC USE ONLY

 

  4.  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Arkansas

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With:

    5.     

  SOLE VOTING POWER

 

  896,091

   6.   

  SHARED VOTING POWER

 

  0

   7.   

  SOLE DISPOSITIVE POWER

 

  0

   8.   

  SHARED DISPOSITIVE POWER

 

  896,091

  9.    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  896,091

10.  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

  ☐

11.  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  10.3%

12.  

  TYPE OF REPORTING PERSON

 

  HC

SCHEDULE 13G

CUSIP NO. 501270102

 

  1.    

  NAMES OF REPORTING PERSONS

 

  Warren A. Stephens

  2.  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☒

 

  3.  

  SEC USE ONLY

 

  4.  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States of America

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With:

    5.     

  SOLE VOTING POWER

 

  896,091

   6.   

  SHARED VOTING POWER

 

  0

   7.   

  SOLE DISPOSITIVE POWER

 

  0

   8.   

  SHARED DISPOSITIVE POWER

 

  896,091

  9.    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  896,091

10.  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

  ☐

11.  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  10.3%

12.  

  TYPE OF REPORTING PERSON

 

  HC

CUSIP NO. 501270102

Item 1.

 

  (a)

Name of Issuer: Kura Sushi USA, Inc.

 

  (b)

Address of Issuer’s Principal Executive Offices:

17461 Derian Avenue, Irvine, California 92614

Item 2.

 

  (a)

Name of Person Filing:

  (1)

Stephens Inc.

  (2)

SI Holdings Inc.

  (3)

Stephens Financial Services LLC

  (4)

Warren A. Stephens

 

  (b)

Address of Principal Business Office or, if none, Residence

(1) through (4)    

111 Center Street, Little Rock, Arkansas 72201

 

  (c)

Citizenship:

  (1)

and (2) Arkansas corporation

  (3)

Arkansas limited liability company

  (4)

United States of America

 

  (d)

Title of Class of Securities:Class A Common Stock, par value $0.001 per share (the “Common Stock”)

 

  (e)

CUSIP Number: 501270102

 

Item 3.

Stephens Inc. is an investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). Stephens Inc. is also a broker dealer registered under Section 15 of the Act. SI Holdings Inc., Stephens Financial Services LLC and Warren A. Stephens are parent holding companies or control persons in accordance with Rule 13d-1(b)(1)(ii)(G).

 

Item 4.

Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

 

See Items 5 – 11 on cover pages 2, 3, 4, and 5 of this schedule.

 

Item 5.

Ownership of Five Percent or Less of a Class.

 

 

N/A

Item 6.

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

Various persons other than the reporting persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of the Common Stock reported on this schedule. Such persons include Jerry N. Carr and Rebecca C. Carr whose joint interests relate to more than five percent of the Common Stock.

 

Item 7.

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

Stephens Inc., an investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).

 

Item 8.

Identification and Classification of Members of the Group

N/A

 

Item 9.

Notice of Dissolution of Group

N/A

 

Item 10.

Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

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.

 

March 8, 2022
Date
Stephens Inc.
By:  

/s/ Todd Ferguson

  Todd Ferguson
  Associate General Counsel
SI Holdings Inc.
By:  

/s/ Todd Ferguson

  Todd Ferguson
  Associate General Counsel
Stephens Financial Services LLC
By:  

/s/ Warren A. Stephens

  Warren A. Stephens
  President and Manager

/s/ Warren A. Stephens

Warren A. Stephens

 

 EX-99.1 2 d277773dex991.htm EX-99.1 EX-99.1

Exhibit 1

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned agree to the joint filing with each other on behalf of each of them of such a statement on Schedule 13G with respect to the shares of the Common Stock.

IN WITNESS WHEREOF, the undersigned have executed this Joint Filing Agreement as of the 8th day of March, 2022.

 

Stephens Inc.
By:  

/s/ Todd Ferguson

  Todd Ferguson
  Associate General Counsel
SI Holdings Inc.
By:  

/s/ Todd Ferguson

  Todd Ferguson
  Associate General Counsel
Stephens Financial Services LLC
By:  

/s/ Warren A. Stephens

  Warren A. Stephens
  President and Manager

/s/ Warren A. Stephens

Warren A. Stephens