Amended Statement of Beneficial Ownership (sc 13d/a)
September 01 2015 - 4:22PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT
TO RULE 13d-2(a)
(Amendment No. 2)*
ANN INC.
(Name of Issuer)
Common Stock, $0.0068 par value per share
(Title of Class of Securities)
035623107
(CUSIP Number)
Golden Gate Capital
One Embarcadero Center, 39th Floor
San Francisco, CA 94111
Attn: Stephen D. Oetgen
(415) 983-2700
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and Communications)
August 21, 2015
(Date of Event Which Requires Filing of this Statement)
If the filing
person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ¨
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other
parties to whom copies are to be sent.
| * |
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 disclosures provided in a prior cover page. |
The information required on 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).
CUSIP No. 035623107
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGC Public Equities Opportunities, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
WC |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
CUSIP No. 035623107
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGC Public Equities Opportunities Blocker Corporation,
Ltd. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
CO |
CUSIP No. 035623107
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON Golden Gate Capital Opportunity Fund, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
CUSIP No. 035623107
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON Golden Gate Capital Opportunity Fund-A, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGCOF Co-Invest, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGCOF Co-Invest Management, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
CUSIP No. 035623107
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGC Opportunity Fund Management, L.P. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
PN |
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGC Opportunity Fund Management GP, Ltd. |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED DISPOSITIVE POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
CO |
|
|
|
|
|
|
|
| 1. |
|
NAME OF
REPORTING PERSON GGCOF Management, LLC |
| 2. |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (a) ¨ (b) x |
| 3. |
|
SEC USE ONLY
|
| 4. |
|
SOURCE OF FUNDS
OO |
| 5. |
|
CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
| 6. |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Cayman Islands |
| NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
|
7. |
|
SOLE VOTING POWER
0 |
| |
8. |
|
SHARED VOTING POWER
0 |
| |
9. |
|
SOLE DISPOSITIVE POWER
0 |
| |
10. |
|
SHARED VOTING POWER
0 |
| 11. |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 |
| 12. |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨ |
| 13. |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) 0% |
| 14. |
|
TYPE OF REPORTING PERSON
OO |
This Amendment No. 2 amends the Statement on Schedule 13D originally filed with the Securities and Exchange
Commission (the “Commission”) on March 20, 2014, which was amended in Amendment No. 1 filed with the Commission on October 14, 2014 (as amended to the date hereof, the “Statement”). The information set forth in
response to each separate Item in the Statement shall be deemed to be a response to all Items where such information is relevant.
| Item 5. |
Interest in Securities of the Issuer. |
(a) – (b) The Reporting Persons
beneficially own, as of August 21, 2015, 0 shares of Common Stock.
(c) On August 21, 2015, each share of the Common
Stock beneficially owned by the Reporting Persons was converted into the right to receive (i) $37.34 in cash and (ii) 0.68 of a share of common stock, par value $0.01 per share, of ascena retail group, inc. pursuant to the Agreement and
Plan of Merger dated as of May 17, 2015 by and among ascena retail group, inc., the Issuer and Avian Acquisition Corp.
(d)
Not applicable.
(e) The Reporting Persons ceased to beneficially own more than 5% of the shares of Common Stock on
August 21, 2015.
After reasonable inquiry and to the best of the undersigned’s knowledge and belief, each of
the undersigned certifies that the information set forth in this Statement is true, complete and correct.
Dated: September 1, 2015
|
|
|
| GGC Public Equities Opportunities, L.P. |
|
|
| By: |
|
GGC Public Equities Opportunities Blocker Corporation, Ltd. |
| Its: |
|
General Partner |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
| GGC Public Equities Opportunities Blocker Corporation, Ltd. |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
| Golden Gate Capital Opportunity Fund, L.P. |
| Golden Gate Capital Opportunity Fund-A, L.P. |
|
|
| By: |
|
GGC Opportunity Fund Management, L.P. |
| Its: |
|
General Partner |
|
|
| By: |
|
GGC Opportunity Fund Management GP, Ltd. |
| Its: |
|
General Partner |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
|
|
| GGCOF Co-Invest, L.P. |
|
|
| By: |
|
GGCOF Co-Invest Management, L.P. |
| Its: |
|
General Partner |
|
|
| By: |
|
GGC Opportunity Fund Management, L.P. |
| Its: |
|
General Partner |
|
|
| By: |
|
GGC Opportunity Fund Management GP, Ltd. |
| Its: |
|
General Partner |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
| GGC Co-Invest Management, L.P. |
|
|
| By: |
|
GGC Opportunity Fund Management, L.P. |
| Its: |
|
General Partner |
|
|
| By: |
|
GGC Opportunity Fund Management GP, Ltd. |
| Its: |
|
General Partner |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
|
|
| GGC Opportunity Fund Management, L.P. |
|
|
| By: |
|
GGC Opportunity Fund Management GP, Ltd. |
| Its: |
|
General Partner |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
| GGC Opportunity Fund Management GP, Ltd. |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Director |
|
| GGCOF Management, LLC |
|
| /s/ David C. Dominik |
| By: |
|
David C. Dominik |
| Its: |
|
Manager |