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.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Advance Auto Parts, Inc.
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(Name of Issuer)
Common Stock, par value $.0001 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
00751Y 106
-----------------------------------------------------
(CUSIP Number)
February 13, 2004
-----------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
__________________
* 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 ("Exchange 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).
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 2 of 7 Pages
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- --------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY)
Nicholas F. Taubman
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0
SHARES ----------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 3,094,730 (See Item 4)
EACH ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 1,797,464 (See Item 4)
WITH ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
----------------------------------------------------
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,094,730 (See Item 4)
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions)
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.19% (See Item 4)
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12 TYPE OF REPORTING PERSON (See Instructions)
IN
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 3 of 7 Pages
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- --------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
The Arthur Taubman Trust dated July 13, 1964
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
South Dakota
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0
SHARES ----------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 3,094,730 (See Item 4)
EACH ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 1,297,266 (See Item 4)
WITH ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
----------------------------------------------------
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,094,730 (See Item 4)
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions)
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.19% (See Item 4)
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (See Instructions)
OO
- --------------------------------------------------------------------------------
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 4 of 7 Pages
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This Amendment No. 2 amends the initial Schedule 13G and the previous
amendment (the "Schedule 13G") filed by the Filing Persons (as defined below in
Item 2) relating to the common stock, par value $0.0001 per share, of Advance
Auto Parts, Inc. Capitalized terms not otherwise defined have the meanings set
forth in the Schedule 13G
Item 1(a). Name of Issuer:
The name of the issuer is Advance Auto Parts, Inc., a Delaware
corporation (the "Issuer").
Item 1(b). Address of Issuer's Principal Executive Offices:
The principal executive office and mailing address of the
Issuer is 5673 Airport Road, Roanoke, Virginia 24012.
Item 2(a). Name of Person Filing:
The names of the persons filing this statement are: Nicholas
F. Taubman ("Taubman") and The Arthur Taubman Trust dated July 13, 1964 (the
"Taubman Trust" and together with Taubman, the "Filing Persons").
Item 2(b). Address of Principal Business Office:
Taubman's principal business address is 2965 Colonnade Drive,
Suite 300, Roanoke, Virginia 24018. The Taubman Trust's principal business
address is 605 S. Minnesota Avenue, Sioux Falls, South Dakota 57101.
Item 2(c). Citizenship:
Taubman is a citizen of the United States of America. The
Taubman Trust is a trust organized under the laws of the state of South Dakota.
Item 2(d). Title of Class of Securities:
This Schedule 13G Amendment No. 2 relates to the Common Stock,
$0.0001 par value per share of the Issuer (the "Common Stock").
Item 2(e). CUSIP Number:
The CUSIP Number of the Common Stock is 00751Y 106.
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or
13d-2(b) or (c), Check Whether the Person Filing is a:
N/A
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 5 of 7 Pages
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Item 4. Ownership.
The Filing Persons believe that there are 73,896,844 shares of Common Stock
outstanding as of January 31, 2004. Based on such number of outstanding shares,
the Filing Persons report the following holdings of Common Stock and
corresponding percentage interest of total shares outstanding:
Taubman beneficially owns 1,797,464 shares of Common Stock or 2.43% of the
outstanding class of Common Stock prior to the aggregation of the shares of
Common Stock beneficially held by the Taubman Trust (as described below).
The Taubman Trust beneficially owns 1,297,266 shares of Common Stock or
1.76% of the outstanding class of Common Stock prior to the aggregation of the
shares of Common Stock beneficially held by Taubman (as described below).
The Filing Persons, FS Equity Partners IV, L.P., a Delaware limited
partnership ("FS Stockholder"), Peter J. Fontaine, an individual ("Fontaine"),
Fontaine Industries Limited Partnership, a Nevada limited partnership ("Fontaine
Partnership"), and the Peter J. Fontaine Revocable Trust, a Florida Revocable
Trust (together with Fontaine and the Fontaine Partnership, the "Fontaine
Parties") are parties to an Amendment No. 2 to Amended and Restated Stockholders
Agreement dated as of February 6, 2002 ("Amendment No. 2"). Information
regarding Amendment No. 1 to the Amended and Restated Stockholders Agreement
dated November 28, 2001 ("Amendment No. 1") and the Amended and Restated
Stockholders Agreement dated November 2, 1998 (the "Restated Stockholders
Agreement" and together with Amendment No. 1 and Amendment No. 2, the "Amended
Stockholders Agreement") were disclosed previously by the Filing Persons in
their initial Schedule 13G report.
The Filing Parties previously reported that as a result of the Amended
Stockholders Agreement, the Filing Persons together with the FS Stockholder and
the Fontaine Parties may have been deemed to constitute a group within the
meaning of Section 13(d)(3) of the Exchange Act, and the Filing Persons may have
been deemed to share beneficial ownership of the shares of Common Stock
beneficially owned or deemed to be owned by the FS Stockholder and the Fontaine
Parties (except, with respect to the Fontaine Parties, 1,028 shares beneficially
owned by Fontaine that are not subject to the Stockholders Agreement). The
provisions of the Amended Stockholders Agreement pursuant to which the Filing
Persons may have been deemed to share voting power with the FS Stockholder and
the Fontaine Parties are no longer effective with respect to the FS Stockholder
and the Fontaine Parties, and accordingly, the Filing Persons are no longer
deemed to have any beneficial ownership of the shares of Common Stock owned or
deemed to be owned by the FS Stockholder and the Fontaine Parties.
The beneficial ownership of the Filing Persons who may be deemed to
constitute a group within the meaning of Section 13(d)(3) of the Exchange Act
with each other, is as follows:
Taubman
-------
Sole Power to Vote 0
Shared Power to Vote 3,094,730
Sole Power to Dispose 1,797,464
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 6 of 7 Pages
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Shared Power to Dispose 0
Aggregate Amount
Beneficially Owned 3,094,730
Percentage of Class 4.19%
Taubman Trust
-------------
Sole Power to Vote 0
Shared Power to Vote 3,094,730
Sole Power to Dispose 1,297,266
Shared Power to Dispose 0
Aggregate Amount
Beneficially Owned 3,094,730
Percentage of Class 4.19%
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being 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 [ x ].
Item 6. Ownership of More than Five Percent on Behalf of Another
Person.
N/A
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent
Holding Company or Control Person.
N/A
Item 8. Identification and Classification of Members of the Group.
Please see Item 2 and Item 4.
Item 9. Notice of Dissolution of Group.
N/A
Item 10. Certification.
N/A
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CUSIP No. 00751Y 106 SCHEDULE 13G Page 7 of 7 Pages
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this Amendment No. 2 to Schedule 13G is true,
complete and correct.
Dated: March 5, 2004
/s/ Nicholas F. Taubman
-----------------------
Nicholas F. Taubman
THE ARTHUR TAUBMAN TRUST DATED JULY 13, 1964
/s/ Eugenia L. Taubman
-----------------------
Eugenia L. Taubman
Trustee