Amended Statement of Ownership (sc 13g/a)
15 February 2020 - 7:58AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Del Taco
Restaurants, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
245496104
(CUSIP Number)
December 31, 2019
(Date of Event which Requires Filing
of this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
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¨
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Rule 13d-1(b)
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¨
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Rule
13d-1(c)
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x
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Rule
13d-1(d)
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CUSIP No. 245496104
1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Claire P. Murphy, individually and as trustee
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨
(b) ¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE VOTING POWER
2,425,382 shares of common stock (including 1,603,141
shares issuable upon exercise of warrants)
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6.
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SHARED VOTING POWER
0
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7.
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SOLE DISPOSITIVE POWER
2,425,382 shares of common stock (including 1,603,141
shares issuable upon exercise of warrants)
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8.
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SHARED DISPOSITIVE POWER
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,425,382 shares of common stock (including 1,603,141
shares issuable upon exercise of warrants)
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES ¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.3%
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12.
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TYPE OF REPORTING PERSON
TN
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SCHEDULE 13G CUSIP No. 245496104
Item 1.
Del Taco Restaurants, Inc.
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(b)
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Address of Issuer’s Principal Executive Offices:
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25521 Commerce Centre Drive
Lake Forest, CA 92360
Item 2.
This Schedule 13G is being filed by the Claire P.
Murphy, individually and indirectly as trustee of each of the Ari Levy 2003 Investment Trust, the Steven Florsheim 2003 Investment
Trust, the Andrew Florsheim 2003 Investment Trust, and Robert Florsheim 2003 Investment Trust. Each Trust was formed under the
law of Illinois. Ms. Murphy is a U.S. citizen. The principal business address of each Trust and the Trustee is Claire P. Murphy,
c/o Sperling & Slater, P.C., 55 W. Monroe Street, Suite 3200, Chicago, IL 60606.
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(d)
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Title of Class of Securities: Common Stock
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Item 3
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If this statement is filed pursuant to sections 240.13d-1(b),
or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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Broker or dealer registered under section 15 of the Act.
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(b)
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Bank as defined in section 3(a)(6) of the Act.
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(c)
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Insurance company as defined in section 3(a)(19) of the Act.
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(d)
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Investment company registered under section 8 of the Investment Company Act of 1940.
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(e)
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An investment advisor in accordance with section 240.13d-1(b)(1)(ii)(E).
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(f)
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An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F).
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(g)
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A parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G).
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(h)
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A savings association as defined in section 3(b) of the Federal Deposit Insurance Act.
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(i)
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940.
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(j)
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Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
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(a)
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Amount
beneficially owned: 2,425,382 shares of common stock (including 1,603,141 shares issuable upon exercise of warrants).
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(b)
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Percent
of class: 6.3% (based on 37,059,202 shares outstanding and common stock issuable upon exercise of 1,603,141 warrants beneficially
owned by the reporting person individually and indirectly as trustee of the trusts referenced in Item 2(a)-(c) above)
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(c)
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Number
of shares as to which the Trust and the Trustee have:
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(i)
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Sole
power to vote or to direct the vote: : 2,425,382 shares of common stock (including 1,603,141 shares issuable upon exercise of
warrants)
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(ii)
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Shared power to vote or to direct the vote: -0-
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(iii)
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Sole power to dispose or to direct the disposition of: : 2,425,382 shares of common stock (including 1,603,141 shares issuable upon exercise of warrants)
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(iv)
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Shared power to dispose or to direct the disposition of: -0-
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Item
5.
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Ownership
of 5 Percent or Less of a Class.
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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 5 percent of the class
of securities, check the following: ¨
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Item
6.
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Ownership
of More than 5 Percent on Behalf of Another Person.
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Claire P. Murphy, as trustee of the Ari Levy 2003 Investment Trust, has the right to receive dividends from or the proceeds from the sale of shares listed above in an amount relating to 5.0% of the outstanding common stock of the Issuer.
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Item
7.
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Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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Not applicable.
Item 8.
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Identification and Classification of Members of the Group
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Not applicable.
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Item
9.
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Notice
of Dissolution of Group.
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Not applicable.
By signing below I certify that, to the best
of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the
effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
SIGNATURE
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.
Dated as of February 14, 2020
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Claire P. Murphy, individually and as trustee of the Ari Levy 2003 Investment Trust, the Steven Florsheim 2003 Investment Trust, the Andrew Florsheim 2003 Investment Trust, and the Robert Florsheim 2003 Investment Trust
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By: /s/ Claire P. Murphy
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Name: Claire P. Murphy
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Title: Trustee
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End of Document
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