- Statement of Ownership (SC 13G)
December 02 2009 - 7:38AM
Edgar (US Regulatory)
<SEQUENCE>1
<FILENAME>ddrx_sc13g.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Diedrich Coffee, Inc.
(Name of Issuer)
Common Stock, par value $0.01 per share
(Title of Class of Securities)
253675201
(CUSIP Number)
November 18, 2009
(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)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*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).
Page 1 of 11 Pages
CUSIP No. 253675201 13G Page 2 of 11 Pages
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(1) NAMES OF REPORTING PERSONS
Hudson Bay Fund, LP
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
123,070 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
123,070 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
123,070 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
2.15%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
--------------------------------------------------------------------------------
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CUSIP No. 253675201 13G Page 3 of 11 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Hudson Bay Overseas Fund, Ltd.
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
218,790 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
218,790 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
218,790 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
3.82%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
--------------------------------------------------------------------------------
|
CUSIP No. 253675201 13G Page 4 of 11 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Hudson Bay Capital Management, L.P.
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
341,860 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
341,860 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
341,860 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
5.97%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
--------------------------------------------------------------------------------
|
CUSIP No. 253675201 13G Page 5 of 11 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Sander Gerber
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
341,860 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
341,860 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
341,860 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
5.97%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
--------------------------------------------------------------------------------
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CUSIP No. 253675201 13G Page 6 of 11 Pages
--------------------------------------------------------------------------------
Item 1.
(a) Name of Issuer
Diedrich Coffee, Inc., a Delaware corporation (the "Company")
(b) Address of Issuer's Principal Executive Offices
28 Executive Park
Irvine, CA 92614
Item 2(a). Name of Person Filing
This statement is filed by the entities and persons listed below, who are
collectively referred to herein as "Reporting Persons," with respect to
the shares of Common Stock beneficially owned by the Reporting Person.
FUNDS
(i) Hudson Bay Fund, LP, with respect to the shares of Common Stock beneficially
owned by it.
(ii) Hudson Bay Overseas Fund, Ltd. with respect to the shares of Common Stock
beneficially owned by it.
INVESTMENT MANAGER
(iii) Hudson Bay Capital Management, L.P., (the "Investment Manager"),
with respect to the shares of Common Stock beneficially owned by Hudson
Bay Fund, LP and Hudson Bay Overseas Fund, Ltd. (together, the "Hudson
Bay Funds") and to which the Investment Manager serves as investment
manager.
REPORTING INDIVIDUAL
(iv) Mr. Sander Gerber ("Mr. Gerber"), with respect to the shares of
Common Stock held by each of the Hudson Bay Funds.
The Investment Manager serves as the investment manager to each of the
Hudson Bay Funds. Mr. Gerber is an executive officer of the Investment
Manager.
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CUSIP No. 253675201 13G Page 7 of 11 Pages
Item 2(b). Address of Principal Business Office or, if none, Residence
The address of the principal business office of Hudson Bay Overseas Fund,
Ltd. is:
Walkers SPV Limited, Walker House
PO Box 908GT, Mary Street
Georgetown, Grand Cayman
Cayman Islands
The address of the principal business office of each of the other
Reporting Persons is:
120 Broadway, 40th Floor
New York, NY 10271
Item 2(c). Citizenship
Citizenship is set forth in Row 4 of the cover page for each Reporting
Person hereto and is incorporated herein by reference for each such
Reporting Person.
Item 2(d) Title of Class of Securities
Common Stock, par value $0.01 per share (the "Common Stock")
Item 2(e) CUSIP Number
253675201
Item 3. If this statement is filed pursuant to ss.240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C.
78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15
U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] 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
(15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
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CUSIP No. 253675201 13G Page 8 of 11 Pages
--------------------------------------------------------------------------------
Item 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11
of the cover page for each Reporting Person hereto and is incorporated
herein by reference for each such Reporting Person. The Company's quarterly
report on Form 10-Q filed on November 2, 2009, for the quarterly period ended
September 30, 2009, indicates that the total number of outstanding shares of
Common Stock as of October 23,2009 was 5,726,813. The percentages set forth
on Row 11 of the cover page for each Reporting Person is based on the
Company's outstanding shares of Common Stock.
The Investment Manager, which serves as the investment manager to the
Hudson Bay Funds, may be deemed to be the beneficial owner of all shares of
Common Stock owned by the Hudson Bay Funds. Mr. Gerber, as executive officer
of the Investment Manager, with the power to exercise investment discretion,
may be deemed to be the beneficial owner of all shares of Common Stock owned
by the Hudson Bay Funds. Each of the Investment Manager and the Reporting
Individual hereby disclaims any beneficial ownership of any such shares of
Common Stock, except for their pecuniary interest therein.
Item 5. Ownership of Five Percent or Less of a Class
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: [ ]
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
See Exhibit I.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the undersigned certifies that, to the best of
Its 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.
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CUSIP No. 253675201 13G Page 9 of 11 Pages
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Exhibits:
Exhibit I: Joint Filing Agreement, dated as of December 1, 2009, by and among
Hudson Bay Fund, LP, Hudson Bay Overseas Fund, Ltd., Hudson Bay Capital
Management, L.P. and Sander Gerber.
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CUSIP No. 253675201 13G Page 10 of 11 Pages
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SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each
of the undersigned certifies that the information with respect to it set forth
in this statement is true, complete, and correct.
Dated: December 1, 2009
HUDSON BAY FUND, L.P. HUDSON BAY OVERSEAS FUND, LTD.
By: Hudson Bay Capital Management, L.P. By: Hudson Bay Capital Management, L.P.
Investment Manager Investment Manager
By: /s/ Sander Gerber By: /s/ Sander Gerber
Name: Sander Gerber Name: Sander Gerber
Title: Authorized Signatory Title: Authorized Signatory
HUDSON BAY CAPITAL MANAGEMENT, L.P. /s/ Sander Gerber
SANDER GERBER
By: /s/ Sander Gerber
Name: Sander Gerber
Title: Authorized Signatory
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CUSIP No. 253675201 13G Page 11 of 11 Pages
EXHIBIT I
JOINT FILING AGREEMENT
This will confirm the agreement by and among the undersigned that the Schedule
13G filed with the Securities and Exchange Commission on or about the date
hereof with respect to the beneficial ownership by the undersigned of the Common
Stock, par value $0.01 per share of Diedrich Coffee, Inc. is being filed, and
all amendments thereto will be filed, on behalf of each of the persons and
entities named below in accordance with Rule 13d-1(k) under the Securities
Exchange Act of 1934, as amended. This Agreement may be executed in two or more
counterparts, each of which shall be deemed an original, but all of which
together shall constitute one and the same instrument.
Dated as of December 1, 2009
HUDSON BAY FUND, L.P. HUDSON BAY OVERSEAS FUND, LTD.
By: Hudson Bay Capital Management, L.P. By: Hudson Bay Capital Management, L.P.
Investment Manager Investment Manager
By: /s/ Sander Gerber By: /s/ Sander Gerber
Name: Sander Gerber Name: Sander Gerber
Title: Authorized Signatory Title: Authorized Signatory
HUDSON BAY CAPITAL MANAGEMENT, L.P. /s/ Sander Gerber
SANDER GERBER
By: /s/ Sander Gerber
Name: Sander Gerber
Title: Authorized Signatory
DOC ID-11021242.2
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