UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
Information to be included in Statements filed pursuant to Rules
13d-(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b)
Rock Bottom Restaurants, Inc.
(Name of Issuer)
Common Stock, par value $.01
(Title of Class of Securities)
771833 10 0
(CUSIP Number)
December 27, 1998
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|_| Rule 13d-1(b)
|_| Rule 13d-1(c)
|X| Rule 13d-1(d)
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* 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 the
disclosures provided in a prior cover page.
The information required in 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).
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Schedule 13G Page 2 of 5
CUSIP NO. 771833 10 0 Rock Bottom Restaurants, Inc.
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1 NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Frank B. Day
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See instructions)
(a) |_|
N/A (b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF 5 SOLE VOTING POWER
SHARES 1,333,772
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BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 0
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EACH 7 SOLE DISPOSITIVE POWER
REPORTING 1,333,772
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PERSON 8 SHARED DISPOSITIVE POWER
WITH 0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,367,235
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (See Instructions) |_|
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
17%
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12 TYPE OF REPORTING PERSON (See Instructions)
IN
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Schedule 13G Page 3 of 5
CUSIP NO. 771833 10 0 Rock Bottom Restaurants, Inc.
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Item 1.
(a) Name of Issuer: Rock Bottom Restaurants, Inc.
(b) Address of Issuer's Principal Executive Offices:
248 Centennial Parkway, Suite 100
Louisville, CO 80027
Item 2.
(a) Name of Person Filing: FRANK B. DAY
(b) Address of Principal Business Office or, if none, Residence:
248 Centennial Parkway, Suite 100
Louisville, CO 80027
(c) Citizenship: USA
(d) Title of Class of Securities: COMMON STOCK, PAR VALUE $0.01 PER
SHARE
(e) CUSIP Number: 771833 10 0
Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b)
or (c), check whether the person filing is a:
(a) Broker or Dealer registered under Section 15 of the Act
----
(b) Bank as defined in Section 3(a)(6) of the Act
----
(c) Insurance Company as defined in Section 3(a)(19) of the
---- Act
(d) Investment Company registered under Section 8 of the
---- Investment Company Act
(e) An Investment Adviser in accordance with Rule
---- 13d-1(b)(1)(ii)(E)
(f) An Employee Benefit Plan or Endowment Fund in
---- accordance with Rule 13d-1(b)(1)(ii)(F)
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Schedule 13G Page 4 of 5
CUSIP NO. 771833 10 0 Rock Bottom Restaurants, Inc.
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(g) A Parent Holding Company or Control Person in
---- accordance with Rule 13d-1(b)(1)(ii)(G)
(h) A Savings Association as defined in Section 3(b) of
---- the Federal Deposit Insurance Act
(i) A Church Plan that is excluded from the definition
---- of an investment company under Section (c)(14) of the
Investment Company Act
(j) Group, in accordance with Rule 13d-1(b)(1)(ii)(J)
----
Item 4. Ownership
(a) Amount Beneficially Owned: 1,367,235 **
(b) Percent of Class: 17%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 1,333,772
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition
of: 1,333,772
(iv) Shared power to dispose or to direct the disposition
of: 0
Item 5. Ownership of Five Percent or Less of a Class: N/A
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 five percent of the class of securities, check
the following. |_|
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** Includes 680,635 shares owned by various trusts of which Mr. Day is the sole
trustee, and 33,463 shares Mr. Day has the right to acquire on exercise of
options now exercisable or which will be exercisable within 60 days of 2-19-99.
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Schedule 13G Page 5 of 5
CUSIP NO. 771833 10 0 Rock Bottom Restaurants, Inc.
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Instruction: Dissolution of a group requires a response to this
item.
Item 6. Ownership of More than Five Percent on Behalf of Another Person:
NOT APPLICABLE
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company:
NOT APPLICABLE
Item 8. Identification and Classification of Members of the Group:
NOT APPLICABLE
Item 9. Notice of Dissolution of Group:
NOT APPLICABLE
Item 10. Certification:
NOT APPLICABLE
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: February 19, 1999
/s/ Frank B. Day
-----------------------------------------
Frank B. Day
ATTENTION: INTENTIONAL MISSTATEMENTS OR
OMISSION OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C 1001)
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