<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. ___)*
LUBY'S, INC.
...............................................................................
(Name of Issuer)
COMMON STOCK, $.32 PAR VALUE PER SHARE
...............................................................................
(Title of Class of Securities)
549282101
...............................................................................
(CUSIP Number)
FRANK MARKANTONIS
642 YALE ST.
HOUSTON, TEXAS 77007
(713) 869-0151
...............................................................................
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
DECEMBER 16, 2000
...............................................................................
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box [ ].
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
* 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 ("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).
Page 1 of 10 Pages
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CUSIP NO. 549282101 13 D Page 2 of 10 Pages
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
1
HARRIS JAMES PAPPAS
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
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SEC USE ONLY
3
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SOURCE OF FUNDS
4 PF
-------------------------------------------------------------------------------
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(D) OR 2(E)
5
[ ]
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CITIZENSHIP OR PLACE OF ORGANIZATION
6 UNITED STATES CITIZEN
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NUMBER OF SOLE VOTING POWER
SHARES 7
BENEFICIALLY 671,900
OWNED ------------------------------------------------------
BY EACH SHARED VOTING POWER
REPORTING 8
PERSON 0
WITH ------------------------------------------------------
SOLE DISPOSITIVE POWER
9
671,900
------------------------------------------------------
SHARED DISPOSITIVE POWER
10
0
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
671,900
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
12 [ ]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
3.0%
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14 TYPE OF REPORTING PERSON
IN
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Page 2 of 10 Pages
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CUSIP NO. 549282101 13 D Page 3 of 10 Pages
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
1
CHRISTOPHER JAMES PAPPAS
------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A) [X]
(B) [ ]
-------------------------------------------------------------------------------
SEC USE ONLY
3
-------------------------------------------------------------------------------
SOURCE OF FUNDS
4
PF
-------------------------------------------------------------------------------
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(D) OR 2(E)
5
[ ]
-------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
UNITED STATES CITIZEN
-------------------------------------------------------------------------------
NUMBER OF SOLE VOTING POWER
SHARES 7
BENEFICIALLY 671,900
OWNED ------------------------------------------------------
BY EACH SHARED VOTING POWER
REPORTING 8
PERSON 0
WITH ------------------------------------------------------
SOLE DISPOSITIVE POWER
9
671,900
------------------------------------------------------
SHARED DISPOSITIVE POWER
10
0
-------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
671,900
-------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
12 [ ]
-------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
3.0%
-------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
-------------------------------------------------------------------------------
Page 3 of 10 Pages
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(FILED BY THE GROUP PURSUANT TO GENERAL INSTRUCTION C)
ITEM 1. SECURITY AND ISSUER.
The equity securities to which this statement relates are the common stock,
$.32 par value per share (the "Common Stock"), of Luby's, Inc., a Delaware
corporation (the "Company"). The Company's principal executive offices are
located at 2211 Northeast Loop 410, Post Office Box 33069, San Antonio, Texas
78265- 3069.
ITEM 2. IDENTITY AND BACKGROUND.
This statement is being filed jointly by Harris James Pappas ("H. Pappas") and
Christopher James Pappas ("C. Pappas"). C. Pappas and H. Pappas are each
referred to herein, individually, as a "Shareholder" and together as the
"Shareholders". Both Shareholders are self employed in the restaurant business
as the principal owners of Pappas Partners, L.P. and Pappas Restaurants, Inc.,
whose address is 642 Yale Street, Houston, Texas 77007. Each Shareholder is a
United States citizen. During the last five years, neither of the Shareholders
has been convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors) nor been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction as a result of which either was
or is subject to a judgment, decree or final order enjoining future violations
of, or prohibiting or mandating activities subject to, federal or state
securities laws or finding any violation with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Each Shareholder purchased his shares of the Company's Common Stock using
personal funds and from routine margin borrowings through standard margin
agreements with broker A.G. Edwards & Sons, Inc. The amount of funds used to
purchase the Common Stock are, in the aggregate, $3,285,274 and $3,255,715 for
H. Pappas and C. Pappas, respectively.
ITEM 4. PURPOSE OF TRANSACTION.
The Shareholders intend to use their holdings, in cooperation with the
Company's Board of Directors and management, to have an influence on the future
of the Company. In these regards the Shareholders have discussed with
representatives of the Company, including certain directors, the possibility of
their, and one of their representatives, being elected to the Board of
Directors (which could result in a change in composition or size of the Board
of Directors) and the possibility of their taking some active role in the
Company's management and operations and, in connection therewith, taking
additional equity interests in the Company directly from the Company or
otherwise investing in the Company. No understandings or agreements have been
reached in such regards, and there can be no assurance that any will be reached
or even that such discussions will lead to specific negotiations in such
regards. Otherwise, at present, the Shareholders have no plans or proposals
that would involve them seeking voting control of the Company or acquiring
additional shares in the market that would result in their holding a
substantial additional percentage of the outstanding shares of the Company, any
extraordinary corporate transaction, any other change in the Board of Directors
or management, any other change with respect to the Company's capitalization,
corporate structure, charter or bylaws or any change that would affect the
Company's stock exchange listing or registration with the Securities and
Exchange Commission. The Shareholders may, however, make additional purchases
or, possibly, sales of shares of Common Stock from time to time.
Page 4 of 10 Pages
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ITEM 5. INTEREST IN SECURITIES OF ISSUER.
(a) Aggregate Number and Percentage of Shares OwneD.
As of the date of this schedule, the Shareholders
beneficially own an aggregate of 1,343,800 shares of Common
Stock. The Shareholders beneficially own in the aggregate
5.99% of the issued and outstanding shares of Common Stock,
such percentage being calculated by dividing 1,343,800 (the
number of shares of Common Stock beneficially owned by the
Shareholders) by 22,420,375 (the number of issued and
outstanding shares of Common Stock as of November 27, 2000,
as reported in the Company's Form 10-K for the Fiscal Year
ended August 31, 2000). Each Shareholder owns beneficially
such number of shares of Common Stock as are set forth below:
H. Pappas 671,900
C. Pappas 671,900
-----------
TOTAL 1,343,800
Each Shareholder disclaims beneficial ownership of any shares of Common Stock
held of record by the other Shareholder.
(b) Number of Shares Beneficially Owned by the Shareholders.
Harris James Pappas
H. Pappas has sole power to vote, and to dispose of, 671,900
shares of Common Stock, such shares being beneficially owned
individually by him.
Christopher James Pappas
C. Pappas has sole power to vote, and to dispose of, 671,900
shares of Common Stock, such number of shares being
beneficially owned individually by him
(c) The following table sets forth all of the transactions in Common
Stock made by each Shareholder over the past 60 days. All such transactions
were open-market purchases made through brokerage transactions.
Harris James Pappas
-------------------
Number of Shares Funds Used to Price Per
Date of Purchase Purchased Purchase Shares Share
---------------- --------- --------------- -----
10/16/00 10,000 $43,125.00 $4.3125
10/16/00 30,000 $132,981.00 $4.4327
10/16/00 10,000 $44,375.00 $4.4375
10/16/00 10,000 $43,750.00 $4.375
10/17/00 12,500 $55,468.75 $4.4375
10/30/00 42,300 $222,756.03 $5.2661
Page 5 of 10 Pages
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10/31/00 66,500 $353,327.80 $5.3132
11/2/00 35,000 $195,625.50 $5.5893
11/3/00 20,000 $111,250.00 $5.5625
11/6/00 15,000 $82,032.00 $5.4688
11/7/00 19,850 $102,580.83 $5.1678
11/8/00 22,800 $118,605.60 $5.202
11/9/00 25,100 $132,407.52 $5.2752
11/10/00 5,000 $27,187.50 $5.4375
11/13/00 27,500 $151,219.75 $5.4989
11/14/00 24,500 $135,534.00 $5.532
11/16/00 88,750 $465,937.50 $5.25
11/17/00 10,000 $51,250.00 $5.125
11/20/00 7,800 $39,875.16 $5.1122
11/22/00 12,500 $63,437.50 $5.075
11/27/00 17,600 $88,624.80 $5.0355
11/28/00 18,750 $92,030.63 $4.9083
11/30/00 13,750 $66,405.63 $4.8295
12/5/00 2,000 $9,125.00 $4.5625
12/6/00 7,500 $33,699.75 $4.4933
12/7/00 5,000 $21,250.00 $4.25
12/15/00 20,000 $73,750.00 $3.6875
12/15/00 11,500 $40,871.00 $3.554
12/19/00 22,500 $81,067.50 $3.603
12/20/00 18,200 $61,082.84 $3.3562
12/21/00 20,000 $73,320.00 $3.666
12/22/00 20,000 $73,320.00 $3.616
Page 6 of 10 Pages
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Christopher James Pappas
------------------------
Number of Shares Funds Used to Price Per
Date of Purchase Purchased Purchase Shares Share
---------------- --------- --------------- -----
10/16/00 10,000 $ 43,125.00 $4.3125
10/16/00 30,000 $132,981.00 $4.4327
10/16/00 10,000 $44,375.00 $4.4375
10/16/00 10,000 $43,750.00 $4.375
10/17/00 12,500 $55,468.75 $4.4375
10/18/00 25,000 $120,325.00 $4.813
10/18/00 24,100 $127,416.70 $5.287
10/25/00 25,600 $136,069.12 $5.3152
10/25/00 1,300 $6,825.00 $5.25
10/25/00 1,000 $5,250.00 $5.25
10/26/00 30,700 $164,868.21 $5.3703
10/27/00 4,000 $20,500.00 $5.125
10/27/00 4,000 $20,750.00 $5.1875
10/27/00 34,600 $175,643.44 $5.0764
10/30/00 13,500 $71,092.35 $5.2661
11/6/00 15,000 $82,032.00 $5.4688
11/7/00 19,850 $102,580.83 $5.1678
11/8/00 22,800 $118,605.60 $5.202
11/9/00 25,100 $132,407.52 $5.2752
11/10/00 5,000 $27,187.50 $5.4375
11/13/00 27,500 $151,219.75 $5.4989
11/14/00 24,500 $135,534.00 $5.532
11/16/00 88,750 $465,937.50 $5.25
11/17/00 10,000 $51,250.00 $5.125
11/20/00 7,800 $39,875.16 $5.1122
11/22/00 12,500 $63,437.50 $5.075
11/27/00 17,600 $88,624.80 $5.0355
Page 7 of 10 Pages
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11/28/00 18,750 $92,030.63 $4.9083
11/30/00 13,750 $66,405.63 $4.8295
12/5/00 2,000 $9,125.00 $4.5625
12/6/00 7,500 $33,699.75 $4.4933
12/7/00 5,000 $21,250.00 $4.25
12/15/00 20,000 $73,750.00 $3.6875
12/15/00 11,500 $40,871.00 $3.554
12/19/00 22,500 $81,067.50 $3.603
12/20/00 18,200 $61,082.84 $3.3562
12/21/00 20,000 $73,320.00 $3.666
12/22/00 20,000 $76,980.58 $3.849
(D) Not applicable.
(E) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF ISSUER.
Other than the general understandings of H. Pappas and C. Pappas as set forth
in Item 4 above to act together as described, there are no contracts,
arrangements, understandings or relationships between any of the Shareholders
with respect to the Common Stock of the Company.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Ex. A Agreement for Joint Filing Pursuant to Rule 13d-1(f)(1)
Under the Securities Exchange Act of 1934, dated December 26,
2000, among Harris James Pappas and Christopher James Pappas.
Page 8 of 10 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 statement is true, complete and
correct.
Dated: December 26, 2000
/s/ Harris James Pappas
-----------------------------------------
Harris James Pappas
/s/ Christopher James Pappas
-----------------------------------------
Christopher James Pappas
Page 9 of 10 Pages
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EXHIBIT INDEX
Ex. A Agreement for Joint Filing Pursuant to Rule 13d-1(f)(1)
Under the Securities Exchange Act of 1934, dated December 26,
2000, among Harris James Pappas and Christopher James Pappas.
