Filing Details
- Accession Number:
- 0001573700-13-000019
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2013-07-09 15:41:52
- Reporting Period:
- 2013-07-05
- Filing Date:
- 2013-07-09
- Accepted Time:
- 2013-07-09 15:41:52
- Original Submission Date:
- 2013-07-08
- 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 |
|---|---|---|---|---|---|---|---|
| 1451302 | J Jeffrey O'neill | Einstein Noah Restaurant Group, Inc. 555 Zang Street, Suite 300 Lakewood CO 80228 | Chief Executive Officer | Yes | 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 | 2013-07-05 | 682 | $3.54 | 26,018 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-05 | 682 | $15.50 | 25,336 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-07-08 | 4,318 | $3.54 | 29,654 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-08 | 4,318 | $15.50 | 25,336 | 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 | Employee stock option (right to buy) | Disposition | 2013-07-05 | 682 | $0.00 | 682 | $3.54 |
| Common Stock | Employee stock option (right to buy) | Disposition | 2013-07-08 | 4,318 | $0.00 | 4,318 | $3.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 60,318 | 2018-12-02 | No | 4 | M | Direct | |
| 56,000 | 2018-12-02 | No | 4 | M | Direct |
Footnotes
- These transactions were omitted from the reporting person's Form 4 filed on July 8, 2013.
- Effective January 8, 2013, the exercise price was adjusted from $4.60 and the number of shares was adjusted from 70,000 in accordance with the anti-dilution provisions of the issuer's Executive Employee Incentive Plan.
- These transactions and holdings were erroneously reported in the reporting person's Form 4 filed on July 8, 2013.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 11, 2013.
- The option vested in three equal installments beginning on December 3, 2009.
Billionaire Hedge Funds
