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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT
TO RULE 13d-2(a)
(Amendment No.4)(1)
Main Street and Main Incorporated
---------------------------------
(Name of Issuer)
Common Stock
------------------------------
(Title of Class of Securities)
560345 30 8
--------------
(CUSIP Number)
John F. Antioco, c/o Main Street and Main Incorporated
5050 North 40th Street, Suite 200, Phoenix, Arizona 85018 (602) 852-9000
------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
September 21, 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 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: 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.
(Continued on following pages)
(Page 1 of 10 Pages)
----------
(1) 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>
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CUSIP NO. 560345 30 8 13D Page 2 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John F. Antioco
--------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
--------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------
6 CITZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------
7 SOLE VOTING POWER
4,311,193
NUMBER OF ---------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 4,311,193
PERSON ---------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,311,193
--------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.8%
--------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
--------------------- -----------------
CUSIP NO. 560345 30 8 13D Page 3 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Antioco Management LLC, an Arizona limited liability company
--------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
--------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------
6 CITZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------
7 SOLE VOTING POWER
1,722,097
NUMBER OF ---------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,722,097
PERSON ---------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,722,097
--------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.3%
--------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
--------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
--------------------- -----------------
CUSIP NO. 560345 30 8 13D Page 4 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Antioco Limited Partnership, an Arizona limited partnership
--------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------
4 SOURCE OF FUNDS*
OO
--------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------
6 CITZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------
7 SOLE VOTING POWER
1,722,097
NUMBER OF ---------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY -0-
OWNED BY ---------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 1,722,097
PERSON ---------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
-0-
---------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,722,097
--------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.3%
--------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
P
--------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 560345 30 8 13D Page 5 of 8 Pages
--------------------- -----------------
ITEM 1. SECURITY AND ISSUER
This Amendment No. 4 to Schedule 13D amends and supplements the Schedule
13D of August 5, 1996, as amended on December 3, 1996, February 19, 1997, and
April 12, 2000, as filed by John F. Antioco relating to shares of common stock
(the "Common Stock") of Main Street and Main Incorporated, a Delaware
corporation (the "Issuer"), with principal executive offices located at 5050
North 40th Street, Suite 200, Phoenix, Arizona 85018.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Item 3 of the Schedule 13D is hereby amended to add the following:
On September 21, 2000, John F. Antioco ("Antioco") used personal funds
totaling $2,199,240.50 to purchase an aggregate of 925,996 shares of Common
Stock in connection with a rights offering conducted by the Issuer (the "Rights
Offering"). On September 21, 2000, Antioco Limited Partnership, an Arizona
limited partnership (the "Partnership") also used funds owned by the Partnership
totaling $1,714,980.30 to purchase an aggregate of 722,097 shares of Common
Stock in connection with the Rights Offering.
ITEM 4. PURPOSE OF TRANSACTION
Item 4(a) of the Schedule 13D is hereby amended to add the following.
The sole purpose of the acquisitions by Antioco and the Partnership on
September 21, 2000, as described herein, was and is for investment. Antioco is
the Chairman of the Board of the Issuer.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 of the Schedule 13D is hereby amended in its entirety to read as
follows:
(a) The aggregate number of shares of Common Stock beneficially owned by
Antioco as of September 21, 2000 is 4,311,193 shares, which represents
29.8% of the total Common Stock outstanding. This number includes (1)
2,171,596 shares of Common Stock, (2) an aggregate of 417,500 shares
of Common Stock issuable upon exercise of currently exercisable
options held by Antioco, and (3) 1,722,097 shares of Common Stock held
by the Partnership. Antioco is the sole managing member of The Antioco
Management LLC, an Arizona limited liability company (the "LLC"),
which is the sole general partner of the Partnership. A trust for the
benefit of the descendants of Mr. Antioco and his spouse is the sole
limited partner of the Partnership. As managing member of the LLC,
Antioco has sole power to vote and sole power to dispose of the shares
of Common Stock held by the Partnership. Antioco therefore is deemed
to have beneficial ownership of the shares of Common Stock held by the
Partnership. Antioco disclaims beneficial ownership of the shares of
Common Stock held by the Partnership, except to the extent that his
individual interest in such shares arises from his interest in the
Partnership, and this report shall not be deemed to be an admission
that Antioco is the beneficial owner of shares held by the Partnership
for purposes of Section 13 or for any other purpose.
<PAGE>
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CUSIP NO. 560345 30 8 13D Page 6 of 8 Pages
--------------------- -----------------
As general partner of the Partnership, the LLC beneficially owns
1,722,097 shares of Common Stock as of September 21, 2000, which
represents 12.3% of the total Common Stock outstanding.
The Partnership beneficially owns 1,722,097 shares of Common Stock as
of September 21, 2000, which represents 12.3% of the total Common
Stock outstanding.
The calculation of the percent of ownership is based upon 14,041,621
shares of Common Stock outstanding at October 9, 2000. In calculating
the percentage of ownership, all shares of Common Stock that Antioco
had the right to acquire within 60 days of September 21, 2000 upon
exercise of options are deemed to be outstanding for the purpose of
computing the percentage of the shares of Common Stock owned by
Antioco.
(b) The following information applies to Antioco, the LLC, and the
Partnership:
<TABLE>
<CAPTION>
Aggregate
Beneficially Owned Voting Power Dispositive Power
---------------------- --------------------- ----------------------
Number Percent Sole Shared Sole Shared
------ ------- ---- ------ ---- ------
<S> <C> <C> <C> <C> <C> <C>
Antioco 4,311,193(1) 29.8% 4,311,193(1) 0 4,311,193(1) 0
LLC 1,722,097 12.3% 1,722,097 0 1,722,097 0
Partnership 1,722,097 12.3% 1,722,097 0 1,722,097 0
</TABLE>
----------
(1) Represents (a) 2,171,596 shares of Common Stock, (b) 417,500 shares
issuable upon exercise of options, and (c) 1,722,097 shares held by the
Partnership.
(c) Antioco effected the following transactions in the Common Stock within
60 days of September 21, 2000.
Date Type of Transaction Number of Shares Price Per Share
---- ------------------- ---------------- ---------------
September 21, 2000 Purchase of shares of 925,996 $2.375
Common Stock in connection
with the Rights Offering
The Partnership effected the following transactions in the Common
Stock within 60 days of September 21, 2000.
Date Type of Transaction Number of Shares Price Per Share
---- ------------------- ---------------- ---------------
September 21, 2000 Purchase of shares of 722,097 $2.375
Common Stock in connection
with the Rights Offering
<PAGE>
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CUSIP NO. 560345 30 8 13D Page 7 of 8 Pages
--------------------- -----------------
(d) The sole limited partner of the Partnership is the J&L Antioco
Irrevocable Trust (the "Trust"). The beneficiaries of the Trust are
any one or more of the descendants of Antioco and his spouse. As a
result, such persons may have the right to receive the proceeds of
dividends received by the Partnership or proceeds from the sale of
shares of Common Stock held by the Partnership.
(e) Not applicable.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit 7(1) Joint Filing Agreement dated September 21, 2000, between John
F. Antioco, The Antioco Management LLC, and Antioco Limited Partnership.
<PAGE>
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CUSIP NO. 560345 30 8 13D Page 8 of 8 Pages
--------------------- -----------------
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.
November 10, 2000 /s/John F. Antioco
----------------- -----------------------------------------------
(Date) John F. Antioco
November 10, 2000 The Antioco Management LLC
-----------------
(Date)
/s/John F. Antioco
-----------------------------------------------
By: John F. Antioco
Its: Managing Member
November 10, 2000 Antioco Limited Partnership
----------------- By: The Antioco Management LLC, General Partner
(Date)
/s/John F. Antioco
-----------------------------------------------
By: John F. Antioco
Its: Managing Member
ATTENTION: Intentional misstatements or omissions of fact constitute
Federal criminal violations (see 18 U.S.C. 1001).
