WILLIS JOHN R 4

Accession 0001104659-12-010199

CIK 0001536035other

View on SEC.gov Company Profile

Filed

Feb 14, 7:00 PM ET

Accepted

Feb 15, 5:02 PM ET

Size

34.9 KB

Accession

0001104659-12-010199

Insider Transaction Report

Form 4

Period: 2012-01-24

Roundy's, Inc.RNDY

WILLIS JOHN R

Director10% Owner

Transactions

Other
Common Stock
2012-01-24+211.3→ 1,901.4 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+211.3→ 1,901.4 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+553,609.6→ 555,511 total(indirect: See Footnote)
Other
Participating Preferred Stock
2012-01-24−7,016.6→ 56,133 total(indirect: See Footnote)
Other
Participating Preferred Stock
2012-01-24−60.9→ 486.7 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+60.9→ 547.6 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+159,440.4→ 159,988 total(indirect: See Footnote)
Other
Participating Preferred Stock
2012-01-24−211.3→ 1,690.1 total(indirect: See Footnote)
Other
Participating Preferred Stock
2012-01-24−211.3→ 1,690.1 total(indirect: See Footnote)
Sale
Common Stock
2012-02-13$8.50/sh−138,256$1,175,176→ 417,255 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+553,609.6→ 555,511 total(indirect: See Footnote)
Sale
Common Stock
2012-02-13$8.50/sh−4,591,768$39,030,028→ 13,857,853 total(indirect: See Footnote)
Sale
Common Stock
2012-02-13$8.50/sh−138,256$1,175,176→ 417,255 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+7,016.6→ 63,149.6 total(indirect: See Footnote)
Other
Common Stock
2012-01-24+18,386,471.4→ 18,449,621 total(indirect: See Footnote)
Sale
Common Stock
2012-02-13$8.50/sh−39,818$338,453→ 120,170 total(indirect: See Footnote)
Award
Common Stock
2012-02-13+8,984→ 8,984 total

Footnotes (7)

[F1]Pursuant to a reclassification exempt under Rule 16b-7, each share of Participating Preferred Stock of Roundy's, Inc. was exchanged, immediately and automatically, for one share of Common Stock ($0.01 par value).
[F2]Willis Stein & Partners III, 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 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.
[F3]Willis Stein & Partners Dutch III-A, 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. John R. Willis and Avy H. Stein 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.
[F4]Willis Stein & Partners Dutch III-B, 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. John R. Willis and Avy H. Stein 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.
[F5]Willis Stein & Partners III-C, 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. John R. Willis and Avy H. Stein 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.
[F6]On January 24, 2012, the Common Stock of Roundy's, Inc. underwent an approximately 292.2-for-1 stock split, resulting in the reporting person's ownership of additional shares of Common Stock.
[F7]Represents public offering price of $8.50 per share net of the underwriters' discount of $0.595.

Documents

1 file

4
a4.xmlPrimary
4

Issuer

Roundy's, Inc.

CIK 0001536035

→

Entity typeother

Related Parties

filerCIK 0001038733

Filing Metadata

Form type: 4
Filed: Feb 14, 7:00 PM ET
Accepted: Feb 15, 5:02 PM ET
Size: 34.9 KB

View on SEC.gov