CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jasper B. Sanfilippo |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
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3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | (Represents (a) 163,045 shares of Class A Stock held by Mr. Sanfilippo as Trustee of certain trusts, the beneficiaries of which are Mr. Sanfilippos children and (b) 21,000 shares of Common Stock held directly by Mr. Sanfilippo.) | |||||||||
NUMBER OF | 184,045 | ||||||||||
SHARES | 8. | Shared Voting Power | (Represents shares of Common Stock held by Mr. Sanfilippo as Co-trustee of the Sanfilippo Family Education Trust.) | ||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 18,832 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 184,045 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
18,832 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
202,877 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
2.4% (4.9% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
2
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Marian R. Sanfilippo |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
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3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | (Includes 8,152 shares of Common Stock, all of which are held directly by Ms. Sanfilippo.) | |||||||||
NUMBER OF | 8,152 | ||||||||||
SHARES | 8. | Shared Voting Power | (Represents (a) 18,832 shares of Common Stock held by Mrs. Sanfilippo as Co-trustee of the Sanfilippo Family Education Trust and (b) 220,220 shares of Class A Stock held by Mrs. Sanfilippo as Co-trustee of five trusts, the beneficiaries of which are Mrs. Sanfilippos children.) | ||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 239,052 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 8,152 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
239,052 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
247,204 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
3% (6.5% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
3
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jeffrey T. Sanfilippo |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 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 | (Represents 10,000 shares of Common Stock held by Mr. Sanfilippo directly and options to purchase 6,375 shares of Common Stock on or within 60 days of December 5, 2007.) | ||||||||
16,375 | |||||||||||
8. | Shared Voting Power | (Represents (a) 18,832 shares of Common Stock held by Mr. Sanfilippo as Co-trustee of the Sanfilippo Family Education Trust, (b) 44,044 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of the Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006 and (c) 1,385,231 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of (i) the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and (ii) the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007.) | |||||||||
1,448,107 | |||||||||||
9. | Sole Dispositive Power | ||||||||||
16,375 | |||||||||||
10. | Shared Dispositive Power | ||||||||||
1,448,107 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
1,464,482 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
15.3% (42% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
4
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jasper B. Sanfilippo, Jr. |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | (Represents options to purchase 6,375 shares of Common Stock on or within 60 days of December 5, 2007.) | |||||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
6,375 | ||||||||||
8. | Shared Voting Power | (Represents (a) 44,044 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of the Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006 and (b) 1,385,231 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of (i) the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and (ii) the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007.) | |||||||||
1,429,275 | |||||||||||
9. | Sole Dispositive Power | ||||||||||
6,375 | |||||||||||
10. | Shared Dispositive Power | ||||||||||
1,429,275 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
1,435,650 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
15% (41.9% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
5
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). John E. Sanfilippo |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | (Represents 28,152 shares of Common Stock owned directly by Mr. Sanfilippo.) | |||||||||
NUMBER OF | 28,152 | ||||||||||
SHARES | 8. | Shared Voting Power | (Represents 44,044 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of the John E. Sanfilippo Irrevocable Trust, dated October 6, 2006.) | ||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 44,044 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 28,152 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
44,044 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
72,196 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.9% (1.4% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
6
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). James J. Sanfilippo |
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2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 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 | |||||||||
0 | |||||||||||
8. | Shared Voting Power (Represents (a) 44,044 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of the James J. Sanfilippo Irrevocable Trust, dated October 6, 2006 and (b) 1,385,231 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Mr. Sanfilippo as Co-trustee of (i)
the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and (ii) the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007.) 1,429,275 |
||||||||||
9. | Sole Dispositive Power | ||||||||||
0 | |||||||||||
10. | Shared Dispositive Power | ||||||||||
1,429,275 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
1,429,275 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
15% (41.9% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
7
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Lisa A. Evon |
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2. | Check the Appropriate Box if a Member of a Group* |
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(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 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 | |||||||||
0 | |||||||||||
8. | Shared Voting Power (Represents 44,044 shares of Class A Stock, $.01 par value per share, which is convertible into Common Stock, par value $.01 per share, held by Ms. Evon as Co-trustee of the Lisa A. Evon Irrevocable Trust, dated October 6, 2006.) 44,044 |
||||||||||
9. | Sole Dispositive Power | ||||||||||
0 | |||||||||||
10. | Shared Dispositive Power | ||||||||||
44,044 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
IN |
8
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 |
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2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 692,616 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 692,616 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
692,616 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
7.9% (20.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
9
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 |
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2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 692,615 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 692,615 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
692,615 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
7.9% (20.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
10
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). James J. Sanfilippo Trust, dated September 26, 1991 |
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2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 32,609 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 32,609 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
32,609 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.4% (1% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
11
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jasper B. Sanfilippo, Jr. Trust, dated September 23, 1991 |
||||||||||
2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 32,609 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 32,609 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
32,609 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.4% (1% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
12
CUSIP No. |
800422 10 7 |
1 | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Lisa Ann Sanfilippo Trust, dated October 4, 1991 |
||||||||||
2 | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Company’s common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3 | SEC Use Only | ||||||||||
4 | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5 | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6 | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7 | Sole Voting Power | ||||||||||
NUMBER OF | 32,609 | ||||||||||
SHARES | 8 | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9 | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 32,609 | ||||||||||
WITH | 10 | Shared Dispositive Power | |||||||||
0 | |||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
32,609 | |||||||||||
12 | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13 | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.4% (1% of combined voting power) | |||||||||||
14 | Type of Reporting Person* | ||||||||||
OO |
13
CUSIP No. |
800422 10 7 |
1 | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jeffrey T. Sanfilippo Trust, dated October 4, 1991 |
||||||||||
2 | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Company’s common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3 | SEC Use Only | ||||||||||
4 | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5 | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6 | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7 | Sole Voting Power | ||||||||||
NUMBER OF | 32,609 | ||||||||||
SHARES | 8 | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9 | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 32,609 | ||||||||||
WITH | 10 | Shared Dispositive Power | |||||||||
0 | |||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
32,609 | |||||||||||
12 | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13 | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.4% (1% of combined voting power) | |||||||||||
14 | Type of Reporting Person* | ||||||||||
OO |
14
CUSIP No. |
800422 10 7 |
1 | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). John E. Sanfilippo Trust, dated October 2, 1991 |
||||||||||
2 | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Company’s common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3 | SEC Use Only | ||||||||||
4 | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5 | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6 | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7 | Sole Voting Power | ||||||||||
NUMBER OF | 32,609 | ||||||||||
SHARES | 8 | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9 | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 32,609 | ||||||||||
WITH | 10 | Shared Dispositive Power | |||||||||
0 | |||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
32,609 | |||||||||||
12 | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13 | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.4% (1% of combined voting power) | |||||||||||
14 | Type of Reporting Person* | ||||||||||
OO |
15
CUSIP No. |
800422 10 7 |
1 | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
||||||||||
2 | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Company’s common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3 | SEC Use Only | ||||||||||
4 | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5 | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6 | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7 | Sole Voting Power | ||||||||||
NUMBER OF | 44,044 | ||||||||||
SHARES | 8 | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9 | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 44,044 | ||||||||||
WITH | 10 | Shared Dispositive Power | |||||||||
0 | |||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12 | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13 | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14 | Type of Reporting Person* | ||||||||||
OO |
16
CUSIP No. |
800422 10 7 |
1 | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006 |
||||||||||
2 | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Company’s common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3 | SEC Use Only | ||||||||||
4 | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5 | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6 | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7 | Sole Voting Power | ||||||||||
NUMBER OF | 44,044 | ||||||||||
SHARES | 8 | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9 | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 44,044 | ||||||||||
WITH | 10 | Shared Dispositive Power | |||||||||
0 | |||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12 | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13 | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14 | Type of Reporting Person* | ||||||||||
OO |
17
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). John E. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
||||||||||
2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 44,044 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 44,044 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
18
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). James J. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
||||||||||
2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o
** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 44,044 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 44,044 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
19
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Lisa A. Evon Irrevocable Trust, dated October 6, 2006 |
||||||||||
2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 44,044 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 44,044 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
44,044 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.5% (1.3% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
20
CUSIP No. |
800422 10 7 |
1. | Names of Reporting Persons. I.R.S. Identification No. of above persons (entities only). Sanfilippo Family Education Trust |
||||||||||
2. | Check the Appropriate Box if a Member of a Group* |
||||||||||
(a) þ** | |||||||||||
(b) o ** The reporting persons making this filing hold an aggregate of 1,768,496 shares of Class A Stock and 98,886 shares of Common Stock, which in the aggregate represents 52.2% of the voting power of the Companys common equity. The reporting person on this cover page, however, is a beneficial owner of only the securities reported by it on this cover page. |
|||||||||||
3. | SEC Use Only | ||||||||||
4. | Source of Funds* | ||||||||||
Not Applicable. | |||||||||||
5. | Check box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e). | ||||||||||
o | |||||||||||
6. | Citizenship or Place of Organization | ||||||||||
United States | |||||||||||
7. | Sole Voting Power | ||||||||||
NUMBER OF | 18,832 | ||||||||||
SHARES | 8. | Shared Voting Power | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | Sole Dispositive Power | |||||||||
REPORTING | |||||||||||
PERSON | 18,832 | ||||||||||
WITH | 10. | Shared Dispositive Power | |||||||||
0 | |||||||||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
18,832 | |||||||||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* | ||||||||||
o | |||||||||||
13. | Percent of Class Represented by Amount in Row (11) | ||||||||||
0.2% (0.1% of combined voting power) | |||||||||||
14. | Type of Reporting Person* | ||||||||||
OO |
21
Shareholder / Address | Occupation / Employment / Business Address | |
Jasper B. Sanfilippo Individually, as Co-trustee of the Sanfilippo Family Education Trust, and as Trustee of certain trusts, the beneficiaries of which are Mr. Sanfilippos children. 1703 North Randall Road Elgin, Illinois 60123-7820 |
Chairman of the Board of Directors of the
Company 1703 North Randall Road Elgin, Illinois 60123-7820 |
|
Marian R. Sanfilippo Individually, as Co-trustee of the Sanfilippo Family Education Trust, and as Co-trustee of five trusts, the beneficiaries of which are Mr. Sanfilippos children. 1703 North Randall Road Elgin, Illinois 60123-7820 |
None | |
Jeffrey T. Sanfilippo Individually, as Co-trustee of the Sanfilippo Family Education Trust, Co-trustee of the Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006, Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of |
Director and Chief Executive Officer of
the Company 1703 North Randall Road Elgin, Illinois 60123-7820 |
22
Shareholder / Address | Occupation / Employment / Business Address | |
Marian R. Sanfilippo, dated
December 5, 2007 and Co-trustee of the Irrevocable
Grantor-Retained Annuity Trust of Jasper B.
Sanfilippo, Sr., dated December 5, 2007 1703 North Randall Road Elgin, Illinois 60123-7820 |
||
Jasper B. Sanfilippo, Jr. Individually, as Co-trustee of the Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006, Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 1703 North Randall Road Elgin, Illinois 60123-7820 |
Director and Chief Operating Officer and
President of the Company 1703 North Randall Road Elgin, Illinois 60123-7820 |
|
John E. Sanfilippo Individually and as Co-trustee of the John E. Sanfilippo Irrevocable Trust, dated October 6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Group President of Corporate Engineering
MAP Equipment Systems, a division of
Clear Lam Packaging 1950 Pratt Boulevard Elk Grove Village, 60007 |
|
James J. Sanfilippo Co-trustee of the James J. Sanfilippo Irrevocable Trust, dated October 6, 2006, Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 1703 North Randall Road Elgin, Illinois 60123-7820 |
President, Clear Lam Packaging 1950 Pratt Boulevard Elk Grove Village, 60007 |
|
Lisa A. Evon Co-trustee of the Lisa A. Evon Irrevocable Trust, dated October 6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Business Manager of the Company 1703 North Randall Road Elgin, Illinois 60123-7820 |
|
Irrevocable Grantor-Retained Annuity Trust of Jasper
B. Sanfilippo, Sr., dated December 5, 2007 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Irrevocable Grantor-Retained Annuity Trust of Marian
R. Sanfilippo, dated December 5, 2007 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable |
23
Shareholder / Address | Occupation / Employment / Business Address | |
James J. Sanfilippo Trust, dated September 26, 1991 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Jasper B. Sanfilippo, Jr. Trust, dated September 23,
1991 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Lisa Ann Sanfilippo Trust, dated October 4, 1991 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Jeffrey T. Sanfilippo Trust, dated October 4, 1991 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
John E. Sanfilippo Trust, dated October 2, 1991 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Jeffrey T. Sanfilippo Irrevocable Trust, dated
October 6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated
October 6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
John E. Sanfilippo Irrevocable Trust, dated October
6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
James J. Sanfilippo Irrevocable Trust, dated October
6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Lisa A. Evon Irrevocable Trust, dated October 6, 2006 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable | |
Sanfilippo Family Education Trust 1703 North Randall Road Elgin, Illinois 60123-7820 |
Not applicable |
24
25
Sole Voting | Shared | Sole Voting | Shared | |||||||||||||||||||||||||
and | Voting and | and | voting and | Total | ||||||||||||||||||||||||
Dispositive | Dispositive | Total | Dispositive | Dispositive | Percent | Voting | ||||||||||||||||||||||
Power of | Power of | Percent | Power of | Power of | of | Power of | ||||||||||||||||||||||
Class A | Class A | of Class | Common | Common | Common | Common | ||||||||||||||||||||||
Reporting Person | Stock | Stock | A Stock | Stock | Stock | Stock(5) | Equity(6) | |||||||||||||||||||||
Jasper B.
Sanfilippo(1)(2) |
163,045 | | 6.3 | % | 21,000 | 18,832 | 2.4 | % | 4.9 | % | ||||||||||||||||||
Marian R.
Sanfilippo(2)(3) |
| 220,220 | 8.5 | % | 8,152 | 18,832 | 3 | % | 6.5 | % | ||||||||||||||||||
Jeffrey T.
Sanfilippo
(2)(3)(4) |
| 1,429,275 | 55 | % | 16,375 | 18,832 | 15.3 | % | 42 | % | ||||||||||||||||||
Jasper B. Sanfilippo,
Jr.(3)(4) |
| 1,429,275 | 55 | % | 6,375 | | 15 | % | 41.9 | % | ||||||||||||||||||
John E.
Sanfilippo(3) |
| 44,044 | 1.7 | % | 28,152 | | 0.9 | % | 1.4 | % | ||||||||||||||||||
James J.
Sanfilippo(3)(4) |
| 1,429,275 | 55 | % | | | 15 | % | 41.9 | % | ||||||||||||||||||
Lisa A. Evon(3) |
| 44,044 | 1.7 | % | | | 0.5 | % | 1.3 | % | ||||||||||||||||||
Irrevocable
Grantor-Retained Annuity
Trust of Marian R.
Sanfilippo, dated December 5, 2007(4) |
692,615 | | 26.7 | % | | | 7.9 | % | 20.3 | % | ||||||||||||||||||
Irrevocable
Grantor-Retained Annuity
Trust of Jasper B.
Sanfilippo, Sr., dated
December 5, 2007(4)
|
692,616 | | 26.7 | % | | | 7.9 | % | 20.3 | % | ||||||||||||||||||
James J. Sanfilippo Trust,
dated September 26,
1991(1) |
32,609 | | 1.3 | % | | | 0.4 | % | 1 | % | ||||||||||||||||||
Jasper B. Sanfilippo, Jr.
Trust, dated September 23,
1991(1) |
32,609 | | 1.3 | % | | | 0.4 | % | 1 | % | ||||||||||||||||||
Lisa Ann Sanfilippo Trust,
dated October 4,
1991(1) |
32,609 | | 1.3 | % | | | 0.4 | % | 1 | % | ||||||||||||||||||
Jeffrey T. Sanfilippo
Trust, dated October 4,
1991(1) |
32,609 | | 1.3 | % | | | 0.4 | % | 1 | % | ||||||||||||||||||
John E. Sanfilippo Trust,
dated October 2,
1991(1) |
32,609 | | 1.3 | % | | | 0.4 | % | 1 | % | ||||||||||||||||||
Jeffrey T. Sanfilippo
Irrevocable Trust, dated
October 6,
2006(3) |
44,044 | | 1.7 | % | | | 0.5 | % | 1.3 | % |
26
Sole Voting | Shared | Sole Voting | Shared | |||||||||||||||||||||||||
and | Voting and | and | voting and | Total | ||||||||||||||||||||||||
Dispositive | Dispositive | Total | Dispositive | Dispositive | Percent | Voting | ||||||||||||||||||||||
Power of | Power of | Percent | Power of | Power of | of | Power of | ||||||||||||||||||||||
Class A | Class A | of Class | Common | Common | Common | Common | ||||||||||||||||||||||
Reporting Person | Stock | Stock | A Stock | Stock | Stock | Stock(5) | Equity(6) | |||||||||||||||||||||
Jasper B. Sanfilippo, Jr.
Irrevocable Trust, dated
October 6,
2006(3) |
44,044 | | 1.7 | % | | | 0.5 | % | 1.3 | % | ||||||||||||||||||
John E. Sanfilippo
Irrevocable Trust, dated
October 6, 2006(3)
|
44,044 | | 1.7 | % | | | 0.5 | % | 1.3 | % | ||||||||||||||||||
James J. Sanfilippo
Irrevocable Trust, dated
October 6,
2006(3) |
44,044 | | 1.7 | % | | | 0.5 | % | 1.3 | % | ||||||||||||||||||
Lisa A. Evon Irrevocable
Trust, dated October 6,
2006(3) |
44,044 | | 1.7 | % | | | 0.5 | % | 1.3 | % | ||||||||||||||||||
Sanfilippo Family
Education Trust
(2) |
| | | 18,832 | | 0.2 | % | 0.1 | % | |||||||||||||||||||
Total Group of Reporting
Persons
(1)(2)(3)(4) |
1,768,496 | 1,768,496 | 68.1 | % | 98,886 | 18,832 | 18.9 | % | 52.2 | % | ||||||||||||||||||
(1) | Jasper B. Sanfilippo is the sole Trustee of the (a) James J. Sanfilippo Trust, dated September 26, 1991, (b) Jasper B. Sanfilippo, Jr. Trust, dated September 23, 1991, (c) Lisa Ann Sanfilippo Trust, dated October 4, 1991, (d) Jeffrey T. Sanfilippo Trust, dated October 4, 1991 and (e) John E. Sanfilippo Trust, dated October 2, 1991. In his capacity as Trustee, Jasper B. Sanfilippo has the sole voting and dispositive power over the 32,609 shares of Class A Stock held in each aforementioned trust. | |
(2) | Jasper B. Sanfilippo, Marian R. Sanfilippo and Jeffrey T. Sanfilippo are the Co-trustees of the Sanfilippo Family Education Trust. In their capacity as Co-trustees, Jasper B. Sanfilippo, Marian R. Sanfilippo and Jeffrey T. Sanfilippo share voting and dispositive power over the 18,832 shares of Common Stock held in the Sanfilippo Family Education Trust. | |
(3) | As Co-trustees of certain trusts, Marian R. Sanfilippo and each of her children share the voting and dispositive power over shares of Class A Stock held in the trusts, as follows: (a) Marian R. Sanfilippo and Jeffrey T. Sanfilippo share voting and dispositive power over 44,044 shares of Class A Stock as Co-trustees of the Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006, (b) Marian R. Sanfilippo and Jasper B. Sanfilippo, Jr. share voting and dispositive power over 44,044 shares of Class A Stock as Co-trustees of the Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006, (c) Marian R. Sanfilippo and John E. Sanfilippo share voting and dispositive power over 44,044 shares of Class A Stock |
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as Co-Trustees of the John E. Sanfilippo Irrevocable Trust, dated October 6, 2006, (d) Marian R. Sanfilippo and James J. Sanfilippo share voting and dispositive power over 44,044 shares of Class A Stock as Co-Trustees of the James J. Sanfilippo Irrevocable Trust, dated October 6, 2006 and (e) Marian R. Sanfilippo and Lisa A. Evon share voting and dispositive power over 44,044 shares of Class A Stock as Co-trustees of the Lisa A. Evon Irrevocable Trust, dated October 6, 2006. | ||
(4) | Jeffrey T. Sanfilippo, Jasper B. Sanfilippo, Jr. and James J. Sanfilippo are the Co-trustees of the (a) Marian Sanfilippo GRAT and (b) Jasper B. Sanfilippo GRAT. In their capacity as Co-trustees of the GRATs, Jeffrey T. Sanfilippo, Jasper B. Sanfilippo, Jr. and James J. Sanfilippo share voting and dispositive power over the 1,385,231 shares of Class A Stock held in the GRATs. | |
(5) | The percentage of Common Stock beneficially owned by each Reporting Person assumes the conversion of all shares of Class A Stock held by such Reporting Person into an equal number of shares of Common Stock. | |
(6) | The percentage of voting power of the common equity beneficially owned by each Reporting Person assumes no conversion of Class A Stock into Common Stock and is calculated based on voting power of ten votes per share of Class A Stock. |
(i) | So long as there is Class A Stock outstanding, holders of Common Stock and Class A Stock will vote together as one class with respect to all matters to be voted on by JBSSs stockholders, except (a) as required by law; (b) in connection with the election of any directors or class of directors elected by any series or class of preferred stock; or (c) the holders of Common Stock and any class or series of preferred stock granted the right to so vote, voting together as a separate class and excluding the holders of Class A Stock, are entitled to elect a number of directors equal to one-fourth (1/4) of the total number of directors constituting the entire Board of Directors while the holders of Class A Stock are entitled to elect the rest of the directors; |
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(ii) | Each record holder of Class A Stock is entitled at any time to convert any or all of the shares of such Class A Stock into an equal number of shares of Common Stock; | ||
(iii) | Upon the sale, assignment, pledge or other transfer of any shares or any interest in shares of Class A Stock, other than a Permitted Transfer as described in Part 4(b) of Subdivision II of the Restated Certificate, all such transferred shares of Class A Stock will be automatically converted into an equal number of shares of Common Stock; | ||
(iv) | All outstanding shares of Class A Stock will be automatically converted into an equal number of shares of Common Stock upon the date on which the number of outstanding shares of Class A Stock constitutes less than 12.5% of the total number of outstanding shares of Common Equity. |
Trust |
Grantor and Beneficiary | Number of Shares | ||
James J. Sanfilippo
Trust, dated September
26, 1991 |
James J. Sanfilippo | 32,609 | ||
Jasper B. Sanfilippo,
Jr. Trust, dated
September 23, 1991 |
Jasper B. Sanfilippo, Jr. | 32,609 | ||
Lisa Ann Sanfilippo
Trust, dated October
4, 1991 |
Lisa A. Evon (formerly Lisa Ann Sanfilippo) | 32,609 | ||
Jeffrey T. Sanfilippo
Trust, dated October
4, 1991 |
Jeffrey T. Sanfilippo | 32,609 | ||
John E. Sanfilippo
Trust, dated October
2, 1991 |
John E. Sanfilippo | 32,609 |
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Trust | Trustees | Grantor | Beneficiary | Number of Shares | ||||||
Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
Jeffrey T. Sanfilippo and Marian R. Sanfilippo | Jasper B. Sanfilippo | Jeffrey T. Sanfilippo | 44,044 | ||||||
Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006 |
Jasper B.
Sanfilippo, Jr.
and
Marian R. Sanfilippo |
Jasper B. Sanfilippo | Jasper B. Sanfilippo, Jr. | 44,044 | ||||||
John E. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
John E. Sanfilippo
and
Marian R. Sanfilippo |
Jasper B. Sanfilippo | John E. Sanfilippo | 44,044 | ||||||
James J. Sanfilippo Irrevocable Trust, dated October 6, 2006 |
James J. Sanfilippo
and
Marian R. Sanfilippo |
Jasper B. Sanfilippo | James J. Sanfilippo | 44,044 | ||||||
Lisa A. Evon Irrevocable Trust, dated October 6, 2006 |
Lisa A. Evon
and
Marian R. Sanfilippo |
Jasper B. Sanfilippo | Lisa A. Evon | 44,044 |
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Trust | Trustees | Grantor | Beneficiary | Number of Shares | ||||||
Irrevocable
Grantor- Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 |
Jeffrey T. Sanfilippo, Jasper B. Sanfilippo, Jr. and James J. Sanfilippo | Marian R. Sanfilippo | Marian R. Sanfilippo | 692,615 | ||||||
Irrevocable
Grantor- Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 |
Jeffrey T. Sanfilippo, Jasper B. Sanfilippo, Jr. and James J. Sanfilippo | Jasper B. Sanfilippo | Jasper B. Sanfilippo | 692,616 |
Exhibit 1 | Joint Filing Agreement by and among the Reporting Persons |
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JASPER B. SANFILIPPO |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, both Individually, as Trustee of the Sanfilippo Family Education Trust and as Trustee of the James J. Sanfilippo Trust, dated September 26, 1991, the Jasper B. Sanfilippo, Jr. Trust, dated September 23, 1991, the Lisa Ann Sanfilippo Trust, dated October 4, 1991, the Jeffrey T. Sanfilippo Trust, dated October 7, 1991 and the John E. Sanfilippo Trust, dated October 2, 1991 | ||||
MARIAN R. SANFILIPPO |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, both Individually, as Trustee of the Sanfilippo Family Education Trust and as Co-trustee of the Jeffrey T. Sanfilippo Irrevocable Trust, dated October 6, 2006, the Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006, the John E. Sanfilippo Irrevocable Trust, dated October 6, 2006, the James J. Sanfilippo Irrevocable Trust, dated October 6, 2006, and the Lisa A. Evon Irrevocable Trust, dated October 6, 2006 | ||||
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JEFFREY T. SANFILIPPO |
||||
By: | /s/ JEFFREY T. SANFILIPPO | |||
Jeffrey T. Sanfilippo, both Individually and as Trustee of the Sanfilippo Family Education Trust, Co-trustee of the Jeffrey T.
Sanfilippo Irrevocable Trust, dated October 6, 2006, Co-trustee of the
Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo,
dated December 5, 2007 and Co-trustee of the Irrevocable
Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated
December 5, 2007 |
||||
JOHN E. SANFILIPPO |
||||
By: | /s/ JOHN E. SANFILIPPO | |||
John E. Sanfilippo, both Individually and as Co-trustee of the John E. Sanfilippo Irrevocable Trust, dated October 6, 2006 | ||||
JASPER B. SANFILIPPO, JR. |
||||
By: | /s/ JASPER B. SANFILIPPO, JR. | |||
Jasper B. Sanfilippo, Jr. both Individually, as Co-trustee of the Jasper B. Sanfilippo, Jr. Irrevocable Trust, dated October 6, 2006, Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 | ||||
JAMES J. SANFILIPPO |
||||
By: | /s/ JAMES J. SANFILIPPO | |||
James J. Sanfilippo, as Co-trustee of the James J. Sanfilippo Irrevocable Trust, dated October 6, 2006, Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Marian R. Sanfilippo, dated December 5, 2007 and Co-trustee of the Irrevocable Grantor-Retained Annuity Trust of Jasper B. Sanfilippo, Sr., dated December 5, 2007 | ||||
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LISA A. EVON |
||||
By: | /s/ LISA A. EVON | |||
Lisa A. Evon, as Co-trustee of the Lisa A. Evon Irrevocable Trust, dated October 6, 2006 | ||||
IRREVOCABLE GRANTOR-RETAINED
ANNUITY TRUST OF MARIAN R.
SANFILIPPO, DATED DECEMBER 5, 2007 |
||||
By: | /s/ JASPER B. SANFILIPPO, JR. | |||
Jasper B. Sanfilippo, Jr., Trustee | ||||
IRREVOCABLE GRANTOR-RETAINED
ANNUITY TRUST OF JASPER B.
SANFILIPPO, SR., DATED DECEMBER 5, 2007 |
||||
By: | /s/ JASPER B. SANFILIPPO, JR. | |||
Jasper B. Sanfilippo, Jr., Trustee | ||||
JAMES J. SANFILIPPO TRUST, DATED SEPTEMBER 26, 1991 |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, Trustee | ||||
JASPER B. SANFILIPPO, JR. TRUST, DATED
SEPTEMBER 23, 1991 |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, Trustee | ||||
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LISA ANN SANFILIPPO TRUST, DATED OCTOBER 4, 1991 |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, Trustee | ||||
JEFFREY T. SANFILIPPO TRUST, DATED OCTOBER 4, 1991 |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, Trustee | ||||
JOHN E. SANFILIPPO TRUST, DATED OCTOBER 2, 1991 |
||||
By: | /s/ JASPER B. SANFILIPPO | |||
Jasper B. Sanfilippo, Trustee | ||||
JEFFREY T. SANFILIPPO IRREVOCABLE TRUST, DATED OCTOBER 6, 2006 |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, Trustee | ||||
JASPER B. SANFILIPPO, JR. IRREVOCABLE TRUST, DATED OCTOBER 6, 2006 |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, Trustee | ||||
JOHN E. SANFILIPPO IRREVOCABLE TRUST, DATED OCTOBER 6, 2006 |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, Trustee | ||||
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JAMES J. SANFILIPPO IRREVOCABLE TRUST, DATED OCTOBER 6, 2006 |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, Trustee | ||||
LISA A. EVON IRREVOCABLE TRUST, DATED OCTOBER 6, 2006 |
||||
By: | /s/ MARIAN R. SANFILIPPO | |||
Marian R. Sanfilippo, Trustee | ||||
SANFILIPPO FAMILY EDUCATION TRUST |
||||
By: | /s/ JEFFREY T. SANFILIPPO | |||
Jeffrey T. Sanfilippo, Trustee | ||||
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