Filing Details
- Accession Number:
- 0001235110-13-000072
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-12 16:32:37
- Reporting Period:
- 2013-03-08
- Filing Date:
- 2013-03-12
- Accepted Time:
- 2013-03-12 16:32:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 949373 | Einstein Noah Restaurant Group Inc | BAGL | Retail-Eating Places (5812) | 133690261 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1203939 | N Emanuel Hilario | C/O Einstein Noah Restaurant Group, Inc. 555 Zang Street, Suite 300 Lakewood CO 80228 | Chief Financial 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 | 2013-03-08 | 36,733 | $9.25 | 39,647 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-08 | 36,733 | $15.04 | 2,914 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-03-11 | 15,267 | $9.25 | 18,181 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-11 | 100 | $15.01 | 18,081 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-03-11 | 15,167 | $15.00 | 2,914 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee stock option (right to buy) | Disposition | 2013-03-08 | 36,733 | $0.00 | 36,733 | $9.25 |
| Common Stock | Employee stock option (right to buy) | Disposition | 2013-03-11 | 15,267 | $0.00 | 15,267 | $9.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 41,267 | 2020-06-13 | No | 4 | M | Direct | |
| 26,000 | 2020-06-13 | No | 4 | M | Direct |
Footnotes
- Effective January 8, 2013, the exercise price of the option was adjusted from $12.02 and the number of shares was adjusted from 60,000, in accordance with the anti-dilution provisions of the issuer's Executive Employee Incentive Plan.
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.15, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- The option vests in three annual installments beginning on June 14, 2011.
Billionaire Hedge Funds
