Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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SEC 1745 (02-02) |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Build-A-Bear Workshop, Inc.
Common Stock, par value $0.01 per share
120076 10 4
December 31, 2004
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
¨ Rule 13d-1(c)
þ Rule 13d-1(d)
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
CP4 Principals, L.L.C. | ||||||
IRS Identification Number of Above Person: | ||||||
06-1556478 | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Delaware | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 1,435,171 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 1,435,171 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 1,435,171 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 7.3 | % | |||
12. |
Type of Reporting Person | |||||
OO (Limited Liability Company) |
2
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Managing Partner IV, L.L.C. | ||||||
IRS Identification Number of Above Person: | ||||||
06-1547977 | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Delaware | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 1,435,171 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 1,435,171 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 1,435,171 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 7.3 | % | |||
12. |
Type of Reporting Person | |||||
OO (Limited Liability Company) |
3
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Partners IV, L.P. | ||||||
IRS Identification Number of Above Person: | ||||||
06-1547978 | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Delaware | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 638,410 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 638,410 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 638,410 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 3.3 | % | |||
12. |
Type of Reporting Person | |||||
PN |
4
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Partners IV-A, L.P. | ||||||
IRS Identification Number of Above Person: | ||||||
06-1583349 | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Delaware | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 223,820 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 223,820 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 223,820 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 1.1 | % | |||
12. |
Type of Reporting Person | |||||
PN |
5
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Partners IV-B, L.P. | ||||||
IRS Identification Number of Above Person: | ||||||
06-1583352 | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Delaware | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 15,604 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 15,604 | ||||
xA0; | ||||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 15,604 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 0.1 | % | |||
12. |
Type of Reporting Person | |||||
PN |
6
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Partners IV Special Purpose, L.P. | ||||||
IRS Identification Number of Above Person: | ||||||
None. | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | |||||
Cayman Islands | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 19,142 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 19,142 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 19,142 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 0.1 | % | |||
12. |
Type of Reporting Person | |||||
PN |
7
CUSIP No. 120076 10 4 |
13G |
1. |
Name of Reporting Person: | |||||
Catterton Partners IV Offshore, L.P. | ||||||
IRS Identification Number of Above Person: | ||||||
None. | ||||||
2. |
Check the Appropriate Box if a Member of a Group | (a)¨ | ||||
(b)þ | ||||||
3. |
SEC Use Only | |||||
4. |
Citizenship or Place of Organization: | & #xA0; | ||||
Cayman Islands | ||||||
Number of Shares Beneficially Owned by Each Reporting Person with: | ||||||
5. |
Sole Voting Power | 0 | ||||
6. |
Shared Voting Power | 538,195 | ||||
7. |
Sole Dispositive Power | 0 | ||||
8. |
Shared Dispositive Power | 538,195 | ||||
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | 538,195 | ||||
10. |
Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares | ¨ | ||||
11. |
Percent of Class Represented by Amount in Row 9 | 2.8 | % | |||
12. |
Type of Reporting Person | |||||
PN |
8
SCHEDULE 13G
Item 1(a). |
Name of Issuer: | |
Build-A-Bear Workshop, Inc. | ||
Item 1(b). |
Address of Issuers Principal Executive Offices: | |
1954 Innerbelt Business Centre Drive | ||
St. Louis, MO 63114 | ||
Item 2(a). |
Name of Person Filing: | |
CP4 Principals, L.L.C. | ||
Catterton Managing Partner IV, L.L.C. | ||
Catterton Partners IV, L.P. | ||
Catterton Partners IV-A, L.P. | ||
Catterton Partners IV-B, L.P. | ||
Catterton Partners IV Special Purpose, L.P. | ||
Catterton Partners IV Offshore, L.P. | ||
Item 2(b). |
Address of Principal Business Office: | |
c/o Catterton Partners | ||
7 Greenwich Office Park, Suite 200 | ||
599 West Putnam Avenue | ||
Greenwich, CT 06830 | ||
Item 2(c). |
Citizenship: | |
CP4 Principals, L.L.C.Delaware | ||
Catterton Managing Partner IV, L.L.C.Delaware | ||
Catterton Partners IV, L.P.Delaware | ||
Catterton Partners IV-A, L.P.Delaware | ||
Catterton Partners IV-B, L.P.Delaware | ||
Catterton Partners IV Special Purpose, L.P.Cayman Islands | ||
Catterton Partners IV Offshore, L.P.Cayman Islands | ||
Item 2(d). |
Title of Class of Securities | |
Common Stock, Par Value $0.01 Per Share | ||
Item 2(e). |
CUSIP Number | |
120076 10 4 | ||
Item 3. |
Not applicable. |
[Remainder of this page has been left intentionally blank.]
9
Item 4. Ownership
Sole power | Shared power | Sole power to | Shared power to | |||||||||||||||||||||||||||||
Amount | to vote | to vote or | dispose or to | dispose or to | ||||||||||||||||||||||||||||
beneficially | Percent | or direct | to direct | direct the | direct the | |||||||||||||||||||||||||||
Reporting Person | owned: | of class: | the vote: | the vote: | disposition of: | disposition of: | ||||||||||||||||||||||||||
CP4 Principals, L.L.C. |
1,435,171 | 7.3 | % | 0 | 1,435,171 | 0 | 1,435,171 | |||||||||||||||||||||||||
Catterton Managing Partner IV, L.L.C. |
1,435,171 | 7.3 | % | 0 | 1,435,171 | 0 | 1,435,171 | |||||||||||||||||||||||||
Catterton Partners IV, L.P. |
638,410 | 3.3 | % | 0 | 638,410 | 0 | 638,410 | |||||||||||||||||||||||||
Catterton Partners IV-A, L.P. |
223,820 | 1.1 | % | 0 | 223,820 | 0 | 223,820 | |||||||||||||||||||||||||
Catterton Partners IV-B, L.P. |
15,604 | 0.1 | % | 0 | 15,604 | 0 | 15,604 | |||||||||||||||||||||||||
Catterton Partners IV Special Purpose, L.P. |
19,142 | 0.1 | % | 0 | 19,142 | 0 | 19,142 | |||||||||||||||||||||||||
Catterton Partners IV Offshore, L.P. |
538,195 | 2.8 | % | 0 | 538,195 | 0 | 538,195 | |||||||||||||||||||||||||
The record holders of common stock, par value $0.01, of Build-A-Bear Workshop, Inc. (the Common Stock) are as follows: (1) Catterton Partners IV, L.P. is the record holder of 638,410 shares, (2) Catterton Partners IV-A, L.P. is the record holder of 223,820 shares, (3) Catterton Partners IV-B, L.P. is the record holder 15,604 shares, (4) Catterton Partners IV Special Purpose, L.P. is the record holder of 19,142 shares, and (5) Catterton Partners IV Offshore, L.P. is the record holder of 538,195 shares.
CP4 Principals, L.L.C. is the managing member of Catterton Managing Partner IV, L.L.C. Catterton Managing Partner IV, L.L.C. is (i) the general partner of Catterton Partners IV, L.P., Catterton Partners IV-A, L.P. and Catterton Partners IV-B, L.P. and (ii) the managing general partner of Catterton Partners IV Special Purpose, L.P. and Catterton Partners IV Offshore, L.P. Accordingly, CP4 Principals, L.L.C. and Catterton Managing Partner IV, L.L.C. each may be deemed to be a beneficial owner of the shares of common stock owned of record by each of Catterton Partners IV, L.P., Catterton Partners IV-A, L.P., Catterton Partners IV-B, L.P., Catterton Partners IV Special Purpose, L.P. and Catterton Partners IV Offshore, L.P.
J. Michael Chu, Craig H. Sakin and Frank M. Vest, Jr. are the members of the managing board of CP4 Principals, L.L.C. and each individual may be deemed to share beneficial ownership of the shares shown as beneficially owned by such entity. Such individuals disclaim such beneficial ownership.
Item 5.
|
Ownership of Five Percent or Less of a Class | |
If this statement has been filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ¨. |
10
Item 6:
|
Ownership of More than Five Percent on Behalf of Another Person: | |
Not applicable. | ||
Item 7:
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company | |
Not applicable. | ||
Item 8:
|
Identification and Classification of Members of the Group. | |
Not applicable. | ||
Item 9:
|
Notice of Dissolution of Group | |
Not applicable. | ||
Item 10:
|
Certification | |
Not applicable. |
11
Signature Page 1 of 2
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.
Date: February 14, 2005
CP4 PRINCIPALS, L.L.C.
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON MANAGING PARTNER IV, L.L.C.
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV-A, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
12
Signature Page 2 of 2
CATTERTON PARTNERS IV-B, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV SPECIAL PURPOSE, L.P.
By: Catterton Managing Partner IV, L.L.C., its Managing
General Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV OFFSHORE, L.P.
By: Catterton Managing Partner IV, L.L.C., its Managing
General Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
13
LIST OF EXHIBITS
Exhibit No. | Description | |
A
|
Joint Filing Agreement |
14
EXHIBIT A: Joint Filing Agreement
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, par value $0.01 per share, of Build-A-Bear Workshop, Inc., a Delaware company, and that this Agreement may be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.
[Remainder of this pa ge has been left intentionally blank.]
15
Signature Page 1 of 2
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement as of the 14th day of February, 2005.
CP4 PRINCIPALS, L.L.C.
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON MANAGING PARTNER IV, L.L.C.
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV-A, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
16
Signature Page 2 of 2
CATTERTON PARTNERS IV-B, L.P.
By: Catterton Managing Partner IV, L.L.C., its General
Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV SPECIAL PURPOSE, L.P.
By: Catterton Managing Partner IV, L.L.C., its Managing
General Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
CATTERTON PARTNERS IV OFFSHORE, L.P.
By: Catterton Managing Partner IV, L.L.C., its Managing
General Partner
By: CP4 Principals, L.L.C., its Managing Member
By: /s/ Frank M. Vest, Jr.
Name: Frank M. Vest, Jr.
Title: Authorized Person
17