SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/08/2016 | 3. Issuer Name and Ticker or Trading Symbol Del Taco Restaurants, Inc. [ TACO ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 3,343,125 | I | By PW Acquisitions LP(2) |
Common Stock(1) | 10,000 | I | By PW Partners Master Fund (QP) LP(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants (Right to Buy)(1) | (4) | (4) | Common Stock | 600,000 | 11.5 | I | By PW Acquisitions LP(2) |
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
| ||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
Explanation of Responses: |
1. This Form 3 is filed jointly by PW Acquisitions LP ("PW Acquisitions"), PW Partners Master Fund (QP) LP ("Master Fund QP"), PW Partners Atlas Funds, LLC ("Acquisitions GP"), PW Partners, LLC ("PW Master Fund GP") and PW Partners Capital Management LLC ("PW Capital Management" and together with PW Acquisitions, Master Fund QP, Acquisitions GP and PW Master Fund GP, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a director by deputization by virtue of the fact that Patrick Walsh, the Managing Member and Chief Executive Officer of each of Acquisitions GP and PW Master Fund GP and the Managing Member of PW Capital Management, is a director of the Issuer. The securities reported herein have been previously disclosed in Section 16 reports filed by Mr. Walsh. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
2. Represents securities owned directly by PW Acquisitions. As the General Partner of PW Acquisitions, Acquisitions GP may be deemed to beneficially own the securities owned directly by PW Acquisitions. As the Investment Manager of PW Acquisitions, PW Capital Management may be deemed to beneficially own the securities owned directly by PW Acquisitions. |
3. Represents securities owned directly by Master Fund QP. As the General Partner of Master Fund QP, PW Master Fund GP may be deemed to beneficially own the securities owned directly by Master Fund QP. As the Investment Manager of Master Fund QP, PW Capital Management may be deemed to beneficially own the securities owned directly by Master Fund QP. |
4. The warrants became exercisable on July 30, 2015 and will expire on June 30, 2020 or earlier upon certain events. |
By: PW Partners Capital Management LLC, By: /s/ Patrick Walsh, Managing Member | 08/10/2016 | |
By: PW Acquisitions LP, By: PW Partners Atlas Funds, LLC, General Partner, By: /s/ Patrick Walsh, Managing Member and Chief Executive Officer | 08/10/2016 | |
By: PW Partners Atlas Funds, LLC, By: /s/ Patrick Walsh, Managing Member and Chief Executive Officer | 08/10/2016 | |
By: PW Partners Master Fund (QP) LP, By: PW Partners, LLC, General Partner, By: /s/ Patrick Walsh, Managing Member and Chief Executive Officer | 08/10/2016 | |
By: PW Partners, LLC, By: /s/ Patrick Walsh, Managing Member and Chief Executive Officer | 08/10/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |