SEC Form 4 · accession 0001209191-15-046086
Roundy's, Inc. · RNDY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
May 22, 2015
Accepted (ET)
May 22, 2015 · 4:02 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 $0.01F1,F2 | May 22, 2015 | S | 3,765,585 | $3.4125 | D | 3,334,911 | I | See Footnote |
| Common Stock, par value $0.01F1,F3 | May 22, 2015 | S | 113,381 | $3.4125 | D | 100,413 | I | See Footnote |
| Common Stock, par value $0.01F1,F4 | May 22, 2015 | S | 113,381 | $3.4125 | D | 100,413 | I | See Footnote |
| Common Stock, par value $0.01F1,F5 | May 22, 2015 | S | 32,653 | $3.4125 | D | 28,920 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents public offering price of $3.50 per share net of the underwriters' discount of $0.0875.
- F2Willis 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 (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.
- F3Willis 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.
- F4Willis 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.
- F5Willis 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.