- Amended Statement of Beneficial Ownership (SC 13D/A)
June 02 2010 - 5:23PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D
Under
the Securities Exchange Act of 1934
(Amendment No. 6)
*
RUBIO'S
RESTAURANTS, INC.
Common
Stock
(Title of
Class of Securities)
78116B102
(CUSIP
Number)
Mario A. Tapanes
General Counsel
MERUELO GROUP
9550 Firestone Blvd., Suite
105
Downey,
California 90241
(562) 745-2355
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
May
25, 2010
(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 §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box.
o
Note
: Schedules filed in paper
format shall include a signed original and five copies of the schedule,
including all exhibits. See §240.13d-7 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).
CUSIP
No. 78116B102
|
1.
Names of Reporting Persons.
Alex
Meruelo
Living Trust
|
2.
Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
o
(b)
ý
|
3.
SEC Use Only
|
4.
Source of Funds (See Instructions)
WC
|
5.
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
o
|
6.
Citizenship or Place of Organization
California
|
Number
of
Shares
Beneficially
Owned
by
Each
Reporting
Person
With
|
7.
Sole Voting Power
594,542
|
8.
Shared Voting Power
0
|
9.
Sole Dispositive Power
594,542
|
10.
Shared Dispositive Power
0
|
11.
Aggregate Amount Beneficially Owned by Each Reporting Person
594,542
|
12.
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
o
|
13.
Percent of Class Represented by Amount in Row (11)
5.9%
|
14.
Type of Reporting Person (See Instructions)
OO
|
CUSIP
No. 78116B102
|
1.
Names of Reporting Persons.
Alex
Meruelo
|
2.
Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
o
(b)
ý
|
3.
SEC Use Only
|
4.
Source of Funds (See Instructions)
AF
|
5.
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
o
|
6.
Citizenship or Place of Organization
United
States
|
Number
of
Shares
Beneficially
Owned
by
Each
Reporting
Person
With
|
7.
Sole Voting Power
594,542
|
8.
Shared Voting Power
0
|
9.
Sole Dispositive Power
594,542
|
10.
Shared Dispositive Power
0
|
11.
Aggregate Amount Beneficially Owned by Each Reporting Person
594,542
|
12.
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
o
|
13.
Percent of Class Represented by Amount in Row (11)
5.9%
|
14.
Type of Reporting Person (See Instructions)
IN/HC
|
CUSIP
No. 78116B102
|
1.
Names of Reporting Persons.
Luis
Armona
|
2.
Check the Appropriate Box if a Member of a Group (See
Instructions)
(a)
o
(b)
ý
|
3.
SEC Use Only
|
4.
Source of Funds (See Instructions)
PF
|
5.
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
o
|
6.
Citizenship or Place of Organization
United
States
|
Number
of
Shares
Beneficially
Owned
by
Each
Reporting
Person
With
|
7.
Sole Voting Power
65,424
|
8.
Shared Voting Power
0
|
9.
Sole Dispositive Power
65,424
|
10.
Shared Dispositive Power
0
|
11.
Aggregate Amount Beneficially Owned by Each Reporting Person
65,424
|
12.
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
o
|
13.
Percent of Class Represented by Amount in Row (11)
0.7%
|
14.
Type of Reporting Person (See Instructions)
IN
|
This Amendment No. 6 reflects changes to
the information in the Schedule 13D relating to the common stock of the issuer
filed
February 25, 2008
by the reporting persons with the
Commission, as amended by Amendment No. 1 thereto filed
January 30, 2009
,
Amendment No. 2 thereto filed
March 12, 2009
, Amendment No. 3 thereto filed
October 15, 2009
,
Amendment No. 4 thereto filed
December 29, 2009
, and Amendment No. 5 thereto filed
January 25, 2010
(as
amended, the "Schedule 13D"). Each capitalized term used and not
defined in this Amendment shall have the meaning assigned to such term in the
Schedule 13D. Except as otherwise provided herein, each Item of the
Schedule 13D remains unchanged.
Item
5. Interest in Securities of the Issuer.
Item 5(c) of the Schedule 13D is hereby
amended and restated in its entirety as follows:
(c) Transactions
in the class of securities reported on that were effected during the past sixty
days or since the most recent filing of Schedule 13D, whichever is less, by the
reporting person(s) are described below.
Transaction
Date
|
Effecting
Person(s)
|
Shares
Acquired
|
Shares
Disposed
|
Price
Per
Share (1)
|
Description
of
Transaction
|
March
24, 2010
|
Alex
Meruelo Living Trust
|
0
|
75,909
|
$8.3565
|
Open
market sale (2) (3)
|
March
25, 2010
|
Alex
Meruelo Living Trust
|
0
|
154,235
|
$8.3192
|
Open
market sale (2) (4)
|
March
26, 2010
|
Alex
Meruelo Living Trust
|
0
|
92,811
|
$8.2733
|
Open
market sale (2) (5)
|
March
27, 2010
|
Luis
Armona
|
0
|
86,204
|
$8.2866
|
Open
market sale (2) (6)
|
March
28, 2010
|
Alex
Meruelo Living Trust
|
0
|
5,500
|
$8.3000
|
Open
market sale (2) (7)
|
June
1, 2010
|
Alex
Meruelo Living Trust
|
0
|
93,215
|
$8.3000
|
Open
market sale
|
(1)
|
Includes
commission of $0.10 per share.
|
(2)
|
The
price reported reflects the weighted average price. The
reporting person(s) hereby undertake(s) to provide to the Commission
staff, the issuer or a security holder of the issuer, upon request, full
information regarding the number of securities purchased at each separate
price.
|
(3)
|
This
transaction was executed in multiple trades on May 24, 2010 at prices
ranging from $8.30 to $8.46.
|
(4)
|
This
transaction was executed in multiple trades on May 25, 2010 at prices
ranging from $8.26 to $8.65.
|
(5)
|
This
transaction was executed in multiple trades on May 26, 2010 at prices
ranging from $8.25 to $8.34.
|
(6)
|
This
transaction was executed in multiple trades on May 27, 2010 at prices
ranging from $8.25 to $8.32.
|
(7)
|
This
transaction was executed in multiple trades on May 28, 2010 at prices
ranging from $8.21 to $8.30.
|
Except as
otherwise described herein, no transactions in the common stock of the issuer
were effected during the past sixty days or since the most recent filing of
Schedule 13D, whichever is less, by any reporting person."
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.
|
Alex
Meruelo Living Trust
|
|
|
|
|
|
By:
|
/s/ Alex Meruelo
|
|
|
Name:
|
Alex
Meruelo
|
|
|
Title:
|
Trustee
|
|
|
Date:
|
June
1, 2010
|
|
|
|
|
|
|
Alex
Meruelo
|
|
|
|
|
|
By:
|
/s/ Alex Meruelo
|
|
|
Name:
|
Alex
Meruelo
|
|
|
Date:
|
June
1, 2010
|
|
|
|
|
|
|
Luis
Armona
|
|
|
|
|
|
By:
|
/s/ Luis Armona
|
|
|
Name:
|
Luis
Armona
|
|
|
Date:
|
June
1, 2010
|
|
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