Filing Details
- Accession Number:
- 0001017712-12-000050
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-06 18:53:06
- Reporting Period:
- 2012-12-04
- Filing Date:
- 2012-12-06
- Accepted Time:
- 2012-12-06 18:53:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1249763 | Andy Schuon | 18305 E. San Jose Ave. City Of Industry CA 91748 | Yes | No | 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 | 2012-12-04 | 11,495 | $6.02 | 53,487 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-04 | 11,495 | $9.82 | 41,992 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-04 | 1,407 | $6.02 | 43,399 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-04 | 1,407 | $9.83 | 41,992 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-04 | 13,099 | $7.54 | 55,091 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-04 | 13,099 | $9.87 | 41,992 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-04 | 17,813 | $4.88 | 59,805 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-04 | 17,813 | $9.82 | 41,992 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-04 | 7,085 | $7.09 | 49,077 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-04 | 7,085 | $9.77 | 41,992 | 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 | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2012-12-04 | 17,813 | $0.00 | 17,813 | $4.88 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-04 | 11,495 | $0.00 | 11,495 | $6.02 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-04 | 1,407 | $0.00 | 1,407 | $6.02 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-04 | 7,085 | $0.00 | 7,085 | $7.09 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-04 | 13,099 | $0.00 | 13,099 | $7.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,856 | 2011-06-08 | 2020-06-08 | No | 4 | M | Direct |
| 1,407 | 2009-06-10 | 2018-06-10 | No | 4 | M | Direct |
| 0 | 2009-06-10 | 2018-06-10 | No | 4 | M | Direct |
| 15,587 | 2012-06-07 | 2021-06-07 | No | 4 | M | Direct |
| 3,023 | 2010-06-09 | 2019-06-09 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $9.80 to $9.84. 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.
- This transaction was executed in multiple trades at prices ranging from $9.73 to $9.91. 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.
- This transaction was executed in multiple trades at prices ranging from $9.80 to $9.915. 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.
- This transaction was executed in multiple trades at prices ranging from $9.70 to $9.915. 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.
- This transaction was executed in multiple trades at prices ranging from $9.70 to $9.89. 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 vest quarterly thereafter.
- 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.
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