Retail Ventures 8-K
 

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) September 15, 2006 (September 15, 2006)
Retail Ventures, Inc.
 
(Exact name of registrant as specified in its charter)
         
Ohio   1-10767   20-0090238
 
(State or other jurisdiction
of incorporation)
  (Commission
File Number)
  (IRS Employer
Identification No.)
     
3241 Westerville Road, Columbus, Ohio   43224
 
(Address of principal executive offices)   (Zip Code)
(614) 471-4722
 
(Registrant’s telephone number, including area code)
 
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


 

ITEM 8.01 OTHER EVENTS.
On September 15th Retail Ventures, Inc. announced the closing of the exercise by Lehman Brothers, the sole underwriter, of its entire option to purchase an additional aggregate principal amount of $18,750,000 of 6.625% Mandatorily Exchangeable Notes due September 15, 2011, or PIESsm (Premium Income Exchangeable SecuritiesSM) pursuant to the underwriting agreement. The initial closing of the PIES occurred on August 16, 2006 and the total principal amount of the PIES, including Lehman Brothers’ exercise of its option to purchase additional PIES, is $143,750,000.
The net proceeds from this exercise of the option to purchase additional PIES will be used for general corporate purposes.
A copy of the prospectus relating to the offering may be obtained by contacting Lehman Brothers Inc., c/o ADP Financial Services, Prospectus Fulfillment, 1155 Long Island Avenue, Edgewood, NY 11717; Email: monica_castillo@adp.com; Fax: (631) 254-7268.
A copy of the press release making this announcement is attached as Exhibit 99.1 hereto and incorporated by reference herein.

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ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
     (c) Exhibits.
         
Exhibit Number   Description
       
 
  99.1    
Press Release dated September 15, 2006

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Signature
     Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
  Retail Ventures, Inc.
 
 
  By:   /s/ James A. McGrady    
    James A. McGrady   
    Executive Vice President, Chief Financial Officer, Treasurer and Secretary   
Date: September 15, 2006

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