Filing Details
- Accession Number:
- 0001017712-12-000044
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-26 20:03:05
- Reporting Period:
- 2012-11-23
- Filing Date:
- 2012-11-26
- Accepted Time:
- 2012-11-26 20:03:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1017712 | Hot Topic Inc | HOTT | Retail-Apparel & Accessory Stores (5600) | 770198182 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1248272 | Gerald Cook | 18305 E. San Jose Ave. City Of Industry CA 91748 | Chief Store Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-11-23 | 19,358 | $5.77 | 35,643 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-11-23 | 19,358 | $9.79 | 16,285 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-11-23 | 25,000 | $4.75 | 41,285 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-11-23 | 25,000 | $9.79 | 16,285 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-11-23 | 25,000 | $0.00 | 25,000 | $4.75 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-11-23 | 19,358 | $0.00 | 19,358 | $5.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,000 | 2009-03-26 | 2018-03-26 | No | 4 | M | Direct |
| 230,642 | 2012-03-30 | 2021-03-30 | No | 4 | M | Direct |
Footnotes
- The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 21, 2012.
- This transaction was executed in multiple trades at prices ranging from $9.75 to $9.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vested quarterly thereafter. The stock option is fully vested and exercisable.
- 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vest quarterly thereafter.
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