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)
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| Ohio
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1-10767
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20-0090238 |
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.) |
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| 3241 Westerville Road, Columbus, Ohio
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43224 |
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| (Address of principal executive offices)
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(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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b)) |
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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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