UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities and Exchange Act of 1934
(Amendment No. 1-Final Amendment)
THE GRAND UNION COMPANY
(Name of Issuer)
COMMON STOCK, par value $.01 per share
(Title of Class of Securities)
386532402
(CUSIP Number)
James Petrie, Esq.
UBS AG
299 Park Avenue, New York, NY 10171 (212) 821-3000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
December 21, 1999
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13D to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box. / /
Note: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) 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 and 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).
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Page 1 of 4 Pages
SCHEDULE 13D
CUSIP No. 386532402
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY)
UBS AG
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
3. SEC USE ONLY
4. SOURCE OF FUNDS*
N/A
5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
N/A
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Switzerland
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Page 2 of 4 Pages
7. SOLE VOTING POWER
NUMBER OF 2,436,564
SHARES
BENEFICIALLY 8. SHARED VOTING POWER
OWNED BY
EACH None
REPORTING
PERSON WITH 9. SOLE DISPOSITIVE POWER
2,436,564
10. SHARED DISPOSITIVE POWER
None
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,436,564
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
N/A
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.12%
14. TYPE OF REPORTING PERSON*
HC CO
*SEE INSTRUCTIONS BEFORE FILLING OUT
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
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Page 3 of 4 Pages
This is Amendment No. 1 (Final Amendment) to a Statement on Schedule 13D
with respect to the common stock (the "Common Stock") of The Grand Union Company
(the "Company") filed by UBS AG ("UBS" or the "Reporting Person") on December
13, 1999. Capitalized terms used here without definition shall have the meanings
ascribed to them in the Schedule 13D.
Item 4. Purpose of Transaction
On December 17, 1999, the Company announced that its Board of Directors
voted to expand the Board from eleven to fifteen members and elected four
individuals to fill the new positions. Named as Directors were: Neil A.
Augustine, Managing Director of Morgens, Waterfall, Vintiadis & Company, Inc.,
New York; Michael Embler, Vice President of Long Drive Management Trust, New
York; Steve Peck, a private investor and Chariman of the Board of Mt. Sinai
Medical Center, New York; and Herbert E. Seif, a Managing Director of UBS.
UBS has determined to withdraw its solicitation of consents from a limited
number of stockholders of the Company to the actions discussed in the Schedule
13D, and to revoke the consent it previously delivered to the Company.
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Page 4 of 4 Pages
SIGNATURES
The undersigned certify that, after reasonable inquiry and to the best of
their respective knowledge and belief, the information set forth in the
Amendment No. 1 to Schedule 13D is true, complete and correct.
UBS AG
By: /s/ Richard Capone
-----------------------------
Name: Richard Capone
Title: Managing Director
By: /s/ Herbert E. Seif
-----------------------------
Name: Herbert E. Seif
Title: Managing Director
Dated: December 22, 1999
