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| Smith & Wollensky Restaurant Group, Inc. The |
| 1114 First Avenue, New York, NY 10021 * (212) 838-2061 |
| Business Description | The company is one of the leading developers, owners and operators of high-end, high-volume restaurants in the United States. Their core concept, Smith & Wollensky, a classic American restaurant, is one of the most recognized brand names in the upscale segment of the restaurant industry. |
| Offering Information Company has | |||
| Trading As | SWRG (NASNTL) | Industry | Retail (SIC 5812) |
| Type of Stock Offered | Common Shares | Filing Date | 3/23/2001 |
| Domestic Shares Offered | 5,295,972 | Offer Date | 5/23/2001 |
| Foreign Shares Offered | 0 | Filing Range | $8.00 - $10.00 |
| Company Shares | 4,750,000 | Offer Price | $8.50 |
| Selling Shrhldrs Shares | 545,972 | Gross Spread | $0.600 |
| Gross Proceeds | $45,015,762 | Selling | $0.360 |
| Expenses | - - | Reallowance | $0.100 |
| Post-IPO Shares | 8,604,447 | Employees | - - |
| Primary Underwriting Group | ||
| Underwriter Name | Participation | Underwriter Phone |
| C.E. Unterberg, Towbin | Lead Manager | (212) 572-8060 |
| McDonald & Company Securities, Inc. | Co-manager | (216) 443-2370 |
| Morgan Keegan & Company, Incorporated | Co-manager | (901) 529-5357 |
| Income Statement and Cash Flow Summary | |||||||
| Prior Audited Income |
Latest Unaudited Income | ||||||
| Full Year Audited Figures | - - Months Ending | ||||||
| Figures in U.S. millions except per share data | 12/31/1996 | 12/31/1997 | 12/31/1998 | 12/31/1999 | 12/31/2000 | ||
| Revenues | 25.002 | 26.582 | 42.521 | 69.835 | 81.463 | - | - |
| Income from Oper. | -1.904 | -0.146 | -1.436 | 1.603 | -1.524 | - | - |
| Net Income | -2.063 | -0.960 | -2.445 | -1.120 | -4.886 | - | - |
| E.P.S | -0.930 | -0.510 | -1.280 | -0.850 | -2.070 | - | - |
| Revenue Growth (%) | 6.32 | 59.96 | 64.24 | 16.651 | - | ||
| Net Income Growth (%) | - | - | - | - | - | ||
| Oper. Profit Margin (%) | - | - | - | 2.30 | - | - | - |
| Net Profit Margin (%) | - | - | - | - | - | - | - |
| Cash Flow - Oper. | - | - | - | ||||
| Cash Flow - Inv. | - | - | - | ||||
| Cash Flow - Fin. | - | - | - | ||||
| Balance Sheet Summary and Financial Ratios | |||||
| Balance sheet as of: 1/1/2001 | Financial Ratios | ||||
| Total Assets | 63.38 | Current Assets | - | Current Ratio | - |
| Total Liab. | 62.31 | Current Liab. | - | Debt Ratio | 98.32% |
| Total Equity | 1.07 | Working Cap. | - | Debt to Equity Ratio | 58.51 |
| Cash | 0.37 | Return on Assets | - | ||
| Use Of Proceeds |
The proceeds from the proposed offering will be used for the development of new restaurants, repayment of debt, working capital and general corporate purposes. |
| Legal Counsel Registrar Auditor | |
| Issuer's Law Firm | Hutchins Wheeler & Dittmar |
| Bank's Law Firm | Paul, Hastings, Janofsky & Walker |
| Registrar/Transfer Agent | American Stock Transfer & Trust Co |
| Auditor | KPMG LLC |
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| Principal Shareholders | ||
| Name of Shareholder | % Owned Before | % Owned After |
| Thomas H. Lee | 23.40 | |
| Warburg Pincus Emerging Growth Fund | 5.00 | |
| Warburg Pincus Post-Venture Capital Fund | 1.10 | |
| Note: represents ownership of 5% or more prior to the offering. | ||