Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-15-046083
Date:2015-05-22
Issuer: ROUNDY'S, INC. (RNDY)
Original Submission Date:

Reporting Person:

STEIN AVY H
1033 SKOKIE BOULEVARD SUITE 360
NORTHBROOK, IL 60062

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.01 2015-05-22 S 3,765,585 d $3.41 3,334,911 f2 indirect f2
COMMON STOCK, PAR VALUE $0.01 2015-05-22 S 113,381 d $3.41 100,413 f3 indirect f3
COMMON STOCK, PAR VALUE $0.01 2015-05-22 S 113,381 d $3.41 100,413 f4 indirect f4
COMMON STOCK, PAR VALUE $0.01 2015-05-22 S 32,653 d $3.41 28,920 f5 indirect f5
COMMON STOCK, PAR VALUE $0.01 2015-05-22 0 $0.00 54,280 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents public offering price of $3.50 per share net of the underwriter's discount of $0.0875.
f2 willis stein & partners iii sub, l.p. ("fund iii") is the record owner of these shares. willis stein & partners management iii, l.p. ("fund iii general partner") is the sole general partner of fund iii. willis stein & partners management iii, llc ("management iii") is the sole general partner of fund iii general partner. john r. willis and avy h. stein ("managing partners") are the managing partners of management iii. the managing partners, acting together, have the power to vote or dispose of these shares. neither of the managing partners, acting alone, has voting or dispositive authority over any shares.
f3 willis stein & partners dutch iii-a sub, l.p. ("dutch iii-a") is the record owner of these shares. fund iii general partner is the sole general partner of dutch iii-a. management iii is the sole general partner of fund iii general partner. the managing partners are the managing partners of management iii. the managing partners, acting together, have the power to vote or dispose of these shares. neither of the managing partners, acting alone, has voting or dispositive authority over any shares.
f4 willis stein & partners dutch iii-b sub, l.p. ("dutch iii-b") is the record owner of these shares. fund iii general partner is the sole general partner of dutch iii-b. management iii is the sole general partner of fund iii general partner. the managing partners are the managing partners of management iii. the managing partners, acting together, have the power to vote or dispose of these shares. neither of the managing partners, acting alone, has voting or dispositive authority over any shares.
f5 willis stein & partners iii-c sub, l.p. ("fund iii-c") is the record owner of these shares. fund iii general partner is the sole general partner of fund iii-c. management iii is the sole general partner of fund iii general partner. the managing partners are the managing partners of management iii. the managing partners, acting together, have the power to vote or dispose of these shares. neither of the managing partners, acting alone, has voting or dispositive authority over any shares.
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