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Breeden Capital Management LLC, et al. – ‘SC 13D/A’ on 2/15/13 re: Zale Corp

On:  Friday, 2/15/13, at 5:18pm ET   ·   Accession #:  903423-13-106   ·   File #:  5-30781

Previous ‘SC 13D’:  ‘SC 13D/A’ on 9/12/12   ·   Latest ‘SC 13D’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 2/15/13  Breeden Capital Management LLC    SC 13D/A               2:144K Zale Corp                         Cleary Gottlieb Ste… LLP
          Breeden Capital Partners LLC
          Breeden Partners (California) II L.P.
          Breeden Partners (California) L.P
          Breeden Partners (Cayman) Ltd.
          Breeden Partners (New York) I L.P.
          Breeden Partners Holdco Ltd.
          Breeden Partners L.P.
          Richard C. Breeden

Amendment to General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D/A    Amendment to General Statement of Beneficial        HTML     85K 
                          Ownership                                              
 2: EX-1        Underwriting Agreement                              HTML     15K

SC 13D/A   —   Amendment to General Statement of Beneficial Ownership

This is an HTML Document rendered as filed.  [ Alternative Formats ]

  Unassociated Document  
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
SCHEDULE 13D
 
Under the Securities Exchange Act of 1934
(Amendment No. 13)*
 
Zale Corporation
(Name of Issuer)
 
Common Stock, $0.01 par value
(Title of Class of Securities)
 
988858106
(CUSIP Number)
 
Morgan F. Kelly
Breeden Capital Management LLC
100 Northfield Street
Greenwich, Connecticut 06830
(203) 618-0065

  (Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
 
February 14, 2013
 (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-l(e), 240.13d-l(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.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Capital Management LLC
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7.
Sole Voting Power   21,884
8. Shared Voting Power     122,084
9. Sole Dispositive Power     0
10. Shared Dispositive Power     122,084
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      143,968
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0.4%
  14. Type of Reporting Person (See Instructions)
OO
 
 
*All percentages relating to beneficial ownership of Common Stock are based upon 32,361,396 shares outstanding, which is the total number of shares outstanding as of December 7, 2012, as reported in the Company’s Form 10-Q for the quarter ended October 31, 2012.
 
 
 
 
CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners (California) L.P.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power     0
9. Sole Dispositive Power     0
10. Shared Dispositive Power      0
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      0
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0%
  14. Type of Reporting Person (See Instructions)
PN
 
 
 
 

CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners L.P.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power       33,686
9. Sole Dispositive Power     0
10. Shared Dispositive Power       33,686
  11. Aggregate Amount Beneficially Owned by Each Reporting Person       33,686
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0.1%
  14. Type of Reporting Person (See Instructions)
PN
 
 
 
 
 
CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners (California) II L.P.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power     0
9. Sole Dispositive Power     0
10. Shared Dispositive Power      0
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      0
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0%
  14. Type of Reporting Person (See Instructions)
PN
 
 
 
 

CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners (New York) I L.P.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power     0
9. Sole Dispositive Power     0
10. Shared Dispositive Power      0
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      0
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0%
  14. Type of Reporting Person (See Instructions)
PN
 
 
 
 
 
CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners Holdco Ltd.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Cayman Islands
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power    0
9. Sole Dispositive Power     0
10. Shared Dispositive Power      0
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      0
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)      0%
  14. Type of Reporting Person (See Instructions)
OO
 
 
 
 

CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Partners (Cayman) Ltd.
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Cayman Islands
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power     0
9. Sole Dispositive Power     0
10. Shared Dispositive Power      0
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      0
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)    0%
  14. Type of Reporting Person (See Instructions)
OO
 
 
 
 
 
 
CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Breeden Capital Partners LLC
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     Delaware
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     0
8. Shared Voting Power     122,084
9. Sole Dispositive Power     0
10. Shared Dispositive Power      122,084
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      122,084
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0.4%
  14. Type of Reporting Person (See Instructions)
OO

 
 
 
 

CUSIP No.  988858106
 
 
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 
Richard C. Breeden
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)        o
(b)        x
 
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)
  6. Citizenship or Place of Organization     United States
Number of
Shares Beneficially
Owned by Each
Reporting 
Person With
7. Sole Voting Power     21,884
8. Shared Voting Power    122,084
9. Sole Dispositive Power     21,884
10. Shared Dispositive Power      122,084
  11. Aggregate Amount Beneficially Owned by Each Reporting Person      143,968
  12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
  13. Percent of Class Represented by Amount in Row (11)     0.4%
  14. Type of Reporting Person (See Instructions)
IN
 
 
 
 
This Amendment No.13 (this “Amendment”) amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on September 12, 2012, as previously amended (the “Schedule 13D”), relating to the common stock, par value $0.01 per share (“Common Stock”), of Zale Corporation, a Delaware corporation (the “Company”).   Terms defined in the Schedule 13D are used herein with the same meaning.

Items 5 and 7 of the Schedule 13D are hereby amended and restated.

ITEM 5.   INTEREST IN SECURITIES OF THE ISSUER.

(a)-(b)             The responses of the Reporting Persons to Rows (7) through (13) on the cover pages of this Statement on Schedule 13D are incorporated herein by reference.

(c)  On   February 14, 2013  the California Fund distributed 4,882,668 shares of Common Stock to investors for no consideration, including 65,202 shares to Breeden Capital Partners LLC.  Except as set forth above, no Reporting Person has effected any transaction in shares of Common Stock during the 60 days preceding the date hereof.

(d)           Not applicable.
 
(e)           On February 14, 2013, as a result of the distribution described in Item 5(c), each of the Reporting Persons ceased to be the beneficial owner of more than five percent of the Common Stock outstanding.

ITEM 7.   MATERIALS TO BE FILED AS EXHIBITS.

EXHIBIT 1.
Agreement as to Joint Filing of Schedule 13D, dated February 14, 2013 by and among the Delaware Fund, the California Fund, the California II Fund, the New York Fund, Holdco, BPC, the General Partner, the Advisor and Mr. Breeden.

 
 
 
 
 
SIGNATURES

 
After reasonable inquiry and to the best of each of the undersigned’s knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated:  February 15, 2013



BREEDEN PARTNERS L.P.
 
By:  Breeden Capital Partners LLC,
        General Partner

By:   /s/  Richard C. Breeden                                
           Richard C. Breeden
           Managing Member


BREEDEN PARTNERS (CALIFORNIA) L.P.

By:  Breeden Capital Partners LLC,
        General Partner

By:   /s/  Richard C. Breeden                                
   Richard C. Breeden
           Managing Member

BREEDEN PARTNERS (CALIFORNIA) II L.P.

By:  Breeden Capital Partners LLC,
        General Partner

By:   /s/  Richard C. Breeden                                
    Richard C. Breeden
            Managing Member

BREEDEN PARTNERS (NEW YORK) I L.P.

By:  Breeden Capital Partners LLC,
        General Partner

By:   /s/  Richard C. Breeden                                
    Richard C. Breeden
            Managing Member


BREEDEN PARTNERS HOLDCO LTD.

By:   /s/  Richard C. Breeden                                
          Richard C. Breeden
          Key Principal
 
 
 
 
 
 
 
 
 
BREEDEN CAPITAL PARTNERS LLC

By:   /s/  Richard C. Breeden                                
   Richard C. Breeden
           Managing Member


BREEDEN CAPITAL MANAGEMENT LLC

By:   /s/  Richard C. Breeden                                
   Richard C. Breeden
           Managing Member


BREEDEN PARTNERS (CAYMAN) LTD.

By:   /s/  Richard C. Breeden                                
          Richard C. Breeden
          Key Principal


 /s/  Richard C. Breeden                                        
Richard C. Breeden
 

 
 
 
 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13D/A’ Filing    Date    Other Filings
Filed on:2/15/133,  4
2/14/1313F-HR,  3,  4
12/7/1210-Q
10/31/1210-Q
9/12/124,  SC 13D/A
 List all Filings 
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