Page 1 of 12 Pages
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
*****EXIT FILING*****
SMART & FINAL, INC.
-----------------------------------------------------
(Name of Issuer)
COMMON STOCK
-----------------------------------------------------
(Title of Class of Securities)
831683107
-----------------------------------------------------
(CUSIP Number)
Check the following box if a fee is being paid with this statement [ ].
(A fee is not required only if the filing person: (1) has a previous statement
on file reporting beneficial ownership of more than five percent of the class
of securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
*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 the
disclosures provided in a prior cover page.
The information required in 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).
Page 2 of 12 Pages
Amendment Number 1 to Schedule 13G (continued)
CUSIP No. 831683107
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Baron Capital Group, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 649,300
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH 0
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
656,900
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
656,900
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.2%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
HC, CO
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
Page 3 of 12 Pages
Amendment Number 1 to Schedule 13G (continued)
CUSIP No. 831683107
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BAMCO, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 518,500
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
518,500
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
518,500
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.7%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA, CO
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
Page 4 of 12 Pages
Amendment Number 1 to Schedule 13G (continued)
CUSIP No. 831683107
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Baron Capital Management, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 130,800
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
138,400
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
138,400
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.5%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA, CO
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
Page 5 of 12 Pages
Amendment Number 1 to Schedule 13G (continued)
CUSIP No. 831683107
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ronald Baron
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 19,300
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 649,300
REPORTING --------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH 19,300
--------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
656,900
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
676,200
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
HC, IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT
Page 6 of 12 Pages
Item 1.
(a) Name of Issuer:
Smart & Final, Inc.
(b) Address of Issuer's Principal Executive Offices:
600 Citadel Drive
City of Commerce, CA 90040
Item 2.
(a) Name of Persons Filing:
Baron Capital Group, Inc. ("BCG")
BAMCO, Inc. ("BAMCO")
Baron Capital Management ("BCM")
Ronald Baron
(b) Address of Principal Business Office:
767 Fifth Avenue
New York, NY 10153
(c) Citizenship:
BCG, BAMCO and BCM are New York corporations.
and Ronald Baron is a citizen of the United States.
(d) Title of Class Securities:
Common Stock
(e) CUSIP Number:
831683107
Item 3. PERSONS FILING:
BCG and Ronald Baron are:
(g) Parent holding companies, in accordance with
Section 240.13d-1(b)(ii)(G)
BAMCO and BCM are:
(e) Investment Advisers registered under Section 203 of
the Investment Advisers Act of 1940
All persons filing are:
(h) Group, in accordance with Rule 13d-1(b)(1)(ii)(F)
Page 7 of 12 Pages
Item 4. OWNERSHIP^
(a) Amount Beneficially Owned as of September 30, 2003:
BCG: 656,900 shares
BAMCO: 518,500 shares
BCM: 138,400 shares
Ronald Baron: 676,200 shares
(b) Percent of Class:
BCG: 2.2%
BAMCO: 1.7%
BCM: 0.5%
Ronald Baron: 2.3%
^BCG and Ronald Baron disclaim beneficial ownership of
shares held by their controlled entities (or the investment
advisory clients thereof) to the extent such shares are held
by persons other than BCG and Ronald Baron. BAMCO and BCM
disclaim beneficial ownership of shares held by their
investment advisory clients to the extent such shares are
held by persons other than BAMCO, BCM and their affiliates.
Page 8 of 12 Pages
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote:
BCG: 0
BAMCO: 0
BCM: 0
Ronald Baron: 19,300
(ii) shared power to vote or direct the vote:
BCG: 649,300
BAMCO: 518,500
BCM: 130,800
Ronald Baron: 649,300
(iii) sole power to dispose or to direct
the disposition of:*
BCG: 0
BAMCO: 0
BCM: 0
Ronald Baron: 19,300
(iv) shared power to dispose or direct
the disposition of:*
BCG: 656,900
BAMCO: 518,500
BCM: 138,400
Ronald Baron: 656,900
Item 5. OWNERSHIP OF 5% OR LESS OF A CLASS
Filing persons have ceased being beneficial owners of more than 5%
of the class of securities reported herein.
Item 6. OWNERSHIP OF MORE THAN 5% ON BEHALF OF ANOTHER PERSON
Not Applicable.
Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT
HOLDING COMPANY
BAMCO and BCM are subsidiaries of BCG.
Ronald Baron owns a controlling interest in BCG.
Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
See Item 3.
* By virtue of investment advisory agreements with their respective
clients, BAMCO and BCM have been given the discretion to dispose
or the disposition of the securities in the advisory accounts.
All such discretionary agreements, are however, revocable.
Page 9 of 12 Pages
Item 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transaction having
such purposes or effect.
Signature
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true,
complete and correct.
Date: October 10, 2003
Baron Capital Group, Inc.,
BAMCO, Inc., and Baron Capital Management, Inc.
By:
/s/ Ronald Baron
_______________________________________
Ronald Baron, Chairman and CEO
Ronald Baron, Individually
By:
/s/ Ronald Baron
_______________________________________
Ronald Baron
Page 10 of 12 Pages
Joint Filing Agreement
The undersigned each hereby agree that the Schedule 13G dated October 10,
2003, which relates to the common stock of Smart & Final Inc., is to be filed
jointly on behalf of each of them for the reasons stated therein, and any
amendments thereto shall be filed jointly by the undersigned.
Dated: October 10, 2003
Baron Capital Group, Inc.,
BAMCO, Inc., and Baron Capital Management, Inc.
By:
/s/ Ronald Baron
_______________________________________
Ronald Baron, Chairman and CEO
Ronald Baron, Individually
By:
/s/ Ronald Baron
_______________________________________
Ronald Baron