- Amended Statement of Ownership: Solicitation (SC 14D9/A)
29 December 2012 - 2:19AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14D-9
(Rule 14d-101)
SOLICITATION/RECOMMENDATION
STATEMENT UNDER
SECTION 14(d)(4) OF
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 2)
Caribou Coffee
Company, Inc.
(Name of Subject Company)
Caribou Coffee Company, Inc.
(Name of Person(s) Filing Statement)
Common Stock,
par value $0.01 per share
(Title of Class of Securities)
142042209
(CUSIP Number of Class of Securities)
Dan E. Lee
General Counsel and Secretary
Caribou Coffee Company, Inc.
3900 Lakebreeze Avenue North
Brooklyn Center, Minnesota 55429
(763) 592-2200
(Name, address, and telephone number of person authorized
to receive notices
and communications on behalf of the person(s) filing statement)
Copies To:
Brian D. Wenger
Brett D. Anderson
Briggs and Morgan, P.A.
2200 IDS Center
80 South Eighth Street
Minneapolis, Minnesota 55402
(612) 977-8400
¨
|
Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer.
|
This Amendment No. 2 to Schedule 14D-9 amends and supplements the Schedule 14D-9 (as
amended and supplemented from time to time, the Schedule 14D-9) originally filed by Caribou Coffee Company, Inc., a Minnesota corporation (the
Company
), with the Securities and Exchange Commission (the
SEC
) on December 21, 2012, relating to the tender offer by JAB Beech Inc., a Delaware corporation (
Parent
or
JAB
), Pine Merger Sub, Inc., a Minnesota corporation and a wholly-owned
subsidiary of Parent (Purchaser and, together with Parent, the
Offerors
), to purchase all outstanding shares of common stock, par value $0.01 per share (
Shares
), of the Company at a price of $16.00
per Share, net to the seller in cash (less any required withholding taxes and without interest), upon the terms and subject to the conditions set forth in the Offer to Purchase dated December 21, 2012 (together with any amendments or
supplements thereto, the
Offer to Purchase
) and in the related Letter of Transmittal (together with any amendments or supplements thereto, the
Letter of Transmittal
and, together with the Offer to Purchase, the
Offer
), which are annexed to and filed with the Offerors Schedule TO (together with the exhibits thereto, as it may be amended or supplemented, the Schedule TO), filed by Purchaser with the U.S. Securities and
Exchange Commission (the SEC) on December 21, 2012.
Except as otherwise noted below, no changes are being
made to the Schedule 14D-9.
1
Item 9. Exhibits
The exhibit table in the Schedule 14D-9 appearing in Item 9 is hereby amended and restated by the following:
|
|
|
Exhibit No.
|
|
Document
|
|
|
(a)(1)(A)
|
|
Offer to Purchase, dated December 21, 2012 (incorporated by reference to Exhibit (a)(1)(A) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange
Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(1)(B)
|
|
Form of Letter of Transmittal (incorporated by reference to Exhibit (a)(1)(B) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission by JAB
and Purchaser on December 21, 2012).
|
|
|
(a)(1)(C)
|
|
Form of Notice of Guaranteed Delivery (incorporated by reference to Exhibit (a)(1)(C) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission
by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(1)(D)
|
|
Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees (incorporated by reference to Exhibit (a)(1)(D) to the Tender Offer Statement on Schedule TO
filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(1)(E)
|
|
Form of Letter to Clients for use by Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees (incorporated by reference to Exhibit (a)(1)(E) to the Tender Offer
Statement on Schedule TO filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(1)(F)
|
|
Internal Revenue Service Form W-9 (Request for Taxpayer Identification Number and Certification), including instructions for completing the form (incorporated by reference to
Exhibit (a)(1)(F) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(2)(A)
|
|
Letter from Gary Graves, Non-Executive Chairman of the Company, to shareholders of the Company, dated December 21, 2012.*
|
|
|
(a)(5)(A)
|
|
Joint press release issued by the Company and JAB, dated December 17, 2012 (incorporated by reference to Exhibit 99.1 to the Companys Current Report on Form 8-K filed
with the Securities and Exchange Commission on December 17, 2012).
|
|
|
(a)(5)(B)
|
|
Opinion of Moelis & Company LLC, dated December 16, 2012 (attached hereto as Annex II).*
|
|
|
(a)(5)(C)
|
|
Summary Advertisement, published December 21, 2012
in The Wall Street Journal
(incorporated by reference to Exhibit (a)(1)(G) to the Tender Offer Statement on Schedule TO
filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(5)(D)
|
|
Complaint filed by James Randolph Richeson in the District Court of the State of Minnesota, Fourth Judicial District on December 18, 2012 (incorporated by reference to Exhibit
(a)(5)(B) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(5)(E)
|
|
Complaint filed by Greentech Research LLC in the District Court of the State of Minnesota, Fourth Judicial District on December 18, 2012 (incorporated by reference to Exhibit
(a)(5)(C) to the Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(5)(F)
|
|
Complaint filed by Suketu Shah, in the District Court of the State of Minnesota, Fourth Judicial District on December 20, 2012 (incorporated by reference to Exhibit (a)(5)(D) to the
Tender Offer Statement on Schedule TO filed with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(a)(5)(G)
|
|
Order Granting Companioning of Cases, issued December 21, 2012 by the District Court of the State of Minnesota, Fourth Judicial District (incorporated by reference to Exhibit
(a)(5)(E) to the Tender Offer Statement on Schedule TO, as amended, filed with the Securities and Exchange Commission by JAB and Purchaser on December 27, 2012).
|
2
|
|
|
Exhibit No.
|
|
Document
|
|
|
(a)(5)(H)
|
|
Complaint filed by Mary Arciero, in the District Court of the State of Minnesota, Fourth Judicial District on December 21, 2012
(incorporated by reference to Exhibit (a)(5)(F) to the Tender Offer Statement on Schedule TO, as amended, filed with the Securities and Exchange Commission by JAB and Purchaser on December 27, 2012).
|
|
|
(a)(5)(I)
|
|
Complaint filed by Jay Schufman, in the District Court of the State of Minnesota, Fourth Judicial District on December 21, 2012
(incorporated by reference to Exhibit (a)(5)(G) to the Tender Offer Statement on Schedule TO, as amended, filed with the Securities and Exchange Commission by JAB and Purchaser on December 27, 2012).
|
|
|
(a)(5)(J)
|
|
Frequently Asked Questions regarding Employee Stock Options, Restricted Stock, and Shares of Stock.
|
|
|
(d)(1)
|
|
Agreement and Plan of Merger, dated as of December 16, 2012, among Parent, Purchaser and the Company (incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K
filed by the Company with the Securities and Exchange Commission on December 17, 2012).
|
|
|
(d)(2)
|
|
Confidentiality Agreement, dated December 7, 2012, between the Company and Parent (incorporated by reference to Exhibit (d)(2) to the Tender Offer Statement on Schedule TO filed
with the Securities and Exchange Commission by JAB and Purchaser on December 21, 2012).
|
|
|
(e)(1)
|
|
2001 Stock Option Plan (incorporated by reference to Exhibit 10.3 to the Companys Registration Statement on Form S-1 filed July 19, 2005 (File No.
333-126691)).
|
|
|
(e)(2)
|
|
Amendment No. 1 to the 2001 Stock Option Plan (incorporated by reference to Exhibit 10.5 to the Companys Registration Statement on Form S-1 filed July 19, 2005 (File No.
333-126691)).
|
|
|
(e)(3)
|
|
Form of Stock Option Grant and Agreement under 2001 Stock Option Plan (incorporated by reference to Exhibit 10.5 to the Companys Registration Statement on Form S-1 filed
July 19, 2005 (File No. 333-126691)).
|
|
|
(e)(4)
|
|
Amended and Restated 2005 Equity Incentive Plan (incorporated by reference to Annex A to the Companys Definitive Proxy Statement on Schedule 14A filed March 27, 2012
(File No. 333-126691)).
|
|
|
(e)(5)
|
|
Form of Stock Option Grant and Agreement under Amended and Restated 2005 Equity Incentive Plan (incorporated by reference to Exhibit 10.5 to the Companys Annual Report on Form
10-K filed March 25, 2011 (File No. 000-51535)).
|
|
|
(e)(6)
|
|
Form of Restricted Stock Award and Agreement under Amended and Restated 2005 Equity Incentive Plan (incorporated by reference to Exhibit 10.6 to the Companys Annual Report on
Form 10-K filed March 25, 2011 (File No. 000-51535)).
|
|
|
(e)(7)
|
|
Form of Directors and Officers Indemnification Agreement (incorporated by reference to Exhibit 10.13 to the Companys Annual Report on Form 10-K for the year ended January 1,
2006 (File No. 000-51535)).
|
|
|
(e)(8)
|
|
Employment Agreement with Michael J. Tattersfield, dated August 1, 2008 (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed
August 4, 2008 (File No. 000-51535)).
|
|
|
(e)(9)
|
|
Employment Agreement with Timothy J. Hennessy, dated September 9, 2008 (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed
September 9, 2008 (File No. 000-51535)).
|
|
|
(e)(10)
|
|
Caribou Coffee Company, Inc. 2012 Severance Plan (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed December 17, 2012 (File No.
000-51535)).
|
|
|
(e)(11)
|
|
Amended and Restated Articles of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Annual Report on Form 10-K filed by the Company on March 25, 2011
(File No. 000-51535)).
|
|
|
(e)(12)
|
|
Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Annual Report on Form 10-K filed by the Company on March 25, 2011 (File No.
000-51535)).
|
3
SIGNATURE
After due 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.
|
|
|
CARIBOU COFFEE COMPANY, INC.
|
|
|
By:
|
|
/s/ Dan E. Lee
|
Name:
|
|
Dan E. Lee
|
Title:
|
|
Senior Vice President, General Counsel and Secretary
|
Dated December 28, 2012
4
EXHIBIT INDEX
|
|
|
Exhibit No.
|
|
Description
|
|
|
(a)(5)(J)
|
|
Frequently Asked Questions regarding Employee Stock Options, Restricted Stock, and Shares of Stock.
|
5
Caribou Coffee Company, Inc. (MM) (NASDAQ:CBOU)
Historical Stock Chart
From Sep 2024 to Oct 2024
Caribou Coffee Company, Inc. (MM) (NASDAQ:CBOU)
Historical Stock Chart
From Oct 2023 to Oct 2024