Filing Details
- Accession Number:
- 0001181431-13-053635
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-11 15:24:30
- Reporting Period:
- 2013-10-09
- Filing Date:
- 2013-10-11
- Accepted Time:
- 2013-10-11 15:24:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1195734 | Potbelly Corp | PBPB | Retail-Eating Places (5812) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1587654 | Aaron Carl Segal | C/O Potbelly Corporation 222 Merchandise Mart Plaza, 23Rd Floor Chicago IL 60654 | Svp Operations-Spec Projects | 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 | Disposition | 2013-10-09 | 13,240 | $14.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-10-09 | 13,750 | $0.00 | 15,125 | No | 4 | C | Indirect | by: SHK Capital Partners, a partnership controlled by Mr. Segal |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | C | Indirect | by: SHK Capital Partners, a partnership controlled by Mr. Segal |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series F Preferred Stock | Disposition | 2013-10-09 | 13,750 | $0.00 | 13,750 | $0.00 |
| Common Stock | Stock Options (right to buy) | Acquisiton | 2013-10-09 | 35,000 | $0.00 | 35,000 | $14.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-12-24 | No | 4 | C | Indirect | |
| 35,000 | 2023-10-04 | No | 4 | A | Direct |
Footnotes
- The Series F Preferred Stock automatically converted into Potbelly common stock on a 1-to-1 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.automatically
- Option award pursuant to the Potbelly Corporation 2013 Long-Term Incentive Plan.
- The stock options will vest and become exercisable as follows: 25% on October 4, 2014, 25% on October 4, 2015, 25% on October 4, 2016, and 25% on October 4, 2017.
Billionaire Hedge Funds
