-----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, QINXsxF7APzweA6025b9qJyCIIIIKlTG3ZWkYTkjwOPORUmOMXXD12gU3ibaDx8g /UrVia4N+Kvw5ikhpbrwRA== 0001181431-09-054080.txt : 20091130 0001181431-09-054080.hdr.sgml : 20091130 20091130204350 ACCESSION NUMBER: 0001181431-09-054080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091126 FILED AS OF DATE: 20091130 DATE AS OF CHANGE: 20091130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEONARD GREEN PARTNERS LP CENTRAL INDEX KEY: 0001175523 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213378 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BLVD STREET 2: STE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LGP MANAGEMENT INC CENTRAL INDEX KEY: 0001175525 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213377 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BLVD STREET 2: STE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WHOLE FOODS MARKET INC CENTRAL INDEX KEY: 0000865436 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] IRS NUMBER: 741989366 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 550 BOWIE STREET CITY: AUSTIN STATE: TX ZIP: 78703 BUSINESS PHONE: 5124774455 MAIL ADDRESS: STREET 1: 550 BOWIE STREET CITY: AUSTIN STATE: TX ZIP: 78703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GEI Capital V, LLC CENTRAL INDEX KEY: 0001449640 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213380 BUSINESS ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-954-0444 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Equity Investors Side V, L.P. CENTRAL INDEX KEY: 0001449643 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213381 BUSINESS ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-954-0444 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Equity Investors V, L.P. CENTRAL INDEX KEY: 0001449644 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213382 BUSINESS ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-954-0444 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green V Holdings, LLC CENTRAL INDEX KEY: 0001449645 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213379 BUSINESS ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-954-0444 MAIL ADDRESS: STREET 1: 11111 SANTA MONICA BOULEVARD STREET 2: SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thyme Coinvest, LLC CENTRAL INDEX KEY: 0001451301 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19797 FILM NUMBER: 091213376 BUSINESS ADDRESS: STREET 1: C/O LEONARD GREEN & PARTNERS STREET 2: 11111 SANTA MONICA BOULEVARD SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 310-954-0444 MAIL ADDRESS: STREET 1: C/O LEONARD GREEN & PARTNERS STREET 2: 11111 SANTA MONICA BOULEVARD SUITE 2000 CITY: LOS ANGELES STATE: CA ZIP: 90025 4 1 rrd258183.xml WHOLE FOODS 8.00% SERIES A PREFERRED CONVERSION X0303 4 2009-11-26 0 0000865436 WHOLE FOODS MARKET INC WFMI 0001449644 Green Equity Investors V, L.P. 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 1 0 1 0 0001449643 Green Equity Investors Side V, L.P. 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 0001449640 GEI Capital V, LLC 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 0001449645 Green V Holdings, LLC 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 0001175523 LEONARD GREEN PARTNERS LP 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 0001175525 LGP MANAGEMENT INC 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 0001451301 Thyme Coinvest, LLC 11111 SANTA MONICA BOULEVARD SUITE 2000 LOS ANGELES CA 90025 0 0 1 0 Common Stock 2009-11-26 4 C 0 22653876 14.5 A 22653876 D Common Stock 2009-11-26 4 C 0 6795430 14.5 A 6795430 D Common Stock 2009-11-26 4 C 0 219268 14.5 A 219268 D Series A Preferred Stock 14.50 2009-11-26 4 C 0 324515 0 D Common Stock 22653876 0 D Series A Preferred Stock 14.50 2009-11-26 4 C 0 97344 0 D Common Stock 6795430 0 D Series A Preferred Stock 14.5 2009-11-26 4 C 0 3141 0 D Common Stock 219268 0 D Immediately. Not applicable. Green Equity Investors V, L.P. ("GEI V") was the direct owner of 324,515 shares of Series A Preferred Stock of the Issuer, which were converted into 22,653,876 shares of Common Stock (the "GEI V Shares," and, together with the GEI V Side Shares and Thyme Shares, the "Shares"). GEI Capital V, LLC ("GEIC") is the general partner of GEI V and GEI Side V. Green V Holdings, LLC ("Holdings") is a limited partner of GEI V. Leonard Green & Partners, L.P. ("LGP") is the management company of GEI V and GEI Side V, the manager of Thyme and an affiliate of GEIC and Holdings. LGP Management, Inc. ("LGPM") is the general partner of LGP. The Series A Preferred Stock was acquired for $1000.00 per share and had an initial conversion ratio of 68.9655:1, which represented a Common Stock share price of $14.50. The conversion ratio was subject to adjustment for accrued but unpaid dividends at the time of conversion. Green Equity Investors Side V, L.P. ("GEI Side V") was the direct owner of 97,344 shares of Series A Preferred Stock of the Issuer, which were converted into 6,795,430 shares of Common Stock (the "GEI V Side Shares," and, together with the GEI V Shares and Thyme Shares, the "Shares"). GEI Capital V, LLC ("GEIC") is the general partner of GEI V and GEI Side V. Green V Holdings, LLC ("Holdings") is a limited partner of GEI V. Leonard Green & Partners, L.P. ("LGP") is the management company of GEI V and GEI Side V, the manager of Thyme and an affiliate of GEIC and Holdings. LGP Management, Inc. ("LGPM") is the general partner of LGP. GEI Side V, as an affiliated entity of GEI V, LGP, as the management company of GEI V and GEI Side V, LGPM, as the general partner of LGP, GEIC, as the general partner of GEI V and GEI Side V, and Holdings, as the limited partner of GEI V directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owners of the Shares owned by GEI V, GEI Side V or Thyme and, therefore, a "ten percent holder" hereunder. Each of GEI Side V, Thyme, LGP, LGPM, GEIC, and Holdings disclaims beneficial ownership of the Shares reported herein, except to the extent of their pecuniary interest therein, and, with respect to GEI Side V and Thyme only, except to the extent of GEI Side V's and Thyme's direct ownership reported herein, and this report shall not be deemed an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purposes. Series A 8.00% Redeemable Convertible Exchangeable Participating Preferred Stock ("Series A Preferred Stock"). Thyme Coinvest, LLC ("Thyme") was the direct owner of 3,141 shares of Series A Preferred Stock of the Issuer, which were converted into 219,268 shares of Common Stock (the "Thyme Shares," and, together with the GEI V Shares, and GEI Side Shares, the "Shares"). GEI Capital V, LLC ("GEIC") is the general partner of GEI V and GEI Side V. Green V Holdings, LLC ("Holdings") is a limited partner of GEI V. Leonard Green & Partners, L.P. ("LGP") is the management company of GEI V and GEI Side V, the manager of Thyme and an affiliate of GEIC and Holdings. LGP Management, Inc. ("LGPM") is the general partner of LGP. The aggregate of the shares of Common Stock reported herein were acquired from the issuer upon conversion of 425,000 shares of Series A Preferred Stock at a conversion ratio of 69.8084. Plus accrued but unpaid dividends. Green Equity Investors V, L.P. ("GEI V"), Green Equity Investors Side V, L.P. ("GEI Side V") may be deemed to be directors for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), by reason of their collective right to nominate two persons to serve on the board of directors of Whole Foods Market, Inc. (the "Company") in accordance with the terms and conditions of a securities purchase agreement dated as of November 5, 2008, as amended, by and among the Company, GEI V, and GEI Side V. /s/ Cody L. Franklin as Attorney-in-Fact for Jonathan D. Sokoloff, Manager of GEI Capital V, LLC, the general partner of Green Equity Investors V, L.P. 2009-11-30 -----END PRIVACY-ENHANCED MESSAGE-----