SEC Form 4 · accession 0001209191-15-045688

Roundy's, Inc. · RNDY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

John R Willis

10% Owner

Period of report

Dec 31, 2014

Accepted (ET)

May 21, 2015 · 7:40 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001536035

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01^F1	Dec 31, 2014	D	12,135	$0.00	D	20,241	D
Common Stock, par value $0.01^F2	May 1, 2015	S$0	99	$0.00	D	20,142	D
Common Stock, par value $0.01^F3	holding	—	—		—	7,100,496	I	See Footnote
Common Stock, par value $0.01^F4	holding	—	—		—	213,794	I	See Footnote
Common Stock, par value $0.01^F5	holding	—	—		—	213,794	I	See Footnote
Common Stock, par value $0.01^F6	holding	—	—		—	61,573	I	See Footnote

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Represents restricted stock units that were cancelled upon the reporting's person retirement as a director of the board of directors of the issuer.
F2Shares sold to cover managed shares account annual maintenance fee.
F3Willis Stein & Partners III Sub, L.P. ("Fund III") is the record owner of these shares. Willis Stein & Partners Management III, L.P. ("Fund III General Partner") is the sole general partner of Fund III. Willis Stein & Partners Management III, LLC ("Management III") is the sole general partner of Fund III General Partner. John R. Willis and Avy H. Stein ("Managing Partners") are the Managing Partners of Management III. The Managing Partners, acting together, have the power to vote or dispose of these shares. Neither of the Managing Partners, acting alone, has voting or dispositive authority over any shares.
F4Willis Stein & Partners Dutch III-A Sub, L.P. ("Dutch III-A") is the record owner of these shares. Fund III General Partner is the sole general partner of Dutch III-A. Management III is the sole general partner of Fund III General Partner. The Managing Partners are the Managing Partners of Management III. The Managing Partners, acting together, have the power to vote or dispose of these shares. Neither of the Managing Partners, acting alone, has voting or dispositive authority over any shares.
F5Willis Stein & Partners Dutch III-B Sub, L.P. ("Dutch III-B") is the record owner of these shares. Fund III General Partner is the sole general partner of Dutch III-B. Management III is the sole general partner of Fund III General Partner. The Managing Partners are the Managing Partners of Management III. The Managing Partners, acting together, have the power to vote or dispose of these shares. Neither of the Managing Partners, acting alone, has voting or dispositive authority over any shares.
F6Willis Stein & Partners III-C Sub, L.P. ("Fund III-C") is the record owner of these shares. Fund III General Partner is the sole general partner of Fund III-C. Management III is the sole general partner of Fund III General Partner. The Managing Partners are the Managing Partners of Management III. The Managing Partners, acting together, have the power to vote or dispose of these shares. Neither of the Managing Partners, acting alone, has voting or dispositive authority over any shares.