Filing Details
- Accession Number:
- 0001209191-14-059134
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-23 09:25:34
- Reporting Period:
- 2014-09-19
- Filing Date:
- 2014-09-23
- Accepted Time:
- 2014-09-23 09:25:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1265572 | Kona Grill Inc | KONA | Retail-Eating Places (5812) | 200216690 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1335846 | L Anthony Winczewski | 200 S. 6Th Street, Suite 1300 Minneapolis MN 55402 | 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 | Disposition | 2014-09-19 | 8,000 | $17.83 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-09-19 | 5,000 | $3.39 | 5,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-09-19 | 5,000 | $17.83 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-09-19 | 1,190 | $5.15 | 1,190 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-09-19 | 1,190 | $17.83 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-09-22 | 4,100 | $5.15 | 4,100 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-09-22 | 4,100 | $17.41 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Director Stock Option (Right to Buy) | Disposition | 2014-09-19 | 5,000 | $3.39 | 5,000 | $3.39 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-09-19 | 1,190 | $51.50 | 1,190 | $5.15 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-09-22 | 4,100 | $5.15 | 4,100 | $5.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-01-28 | 2015-01-28 | No | 4 | M | Direct |
| 6,310 | 2012-02-25 | 2016-02-24 | No | 4 | M | Direct |
| 2,210 | 2012-02-25 | 2016-02-24 | No | 4 | M | Direct |
Footnotes
- Price reported is a weighted average price. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2014 at prices ranging from $17.40 to $18.49, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (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 specified above.
- Price reported is a weighted average price. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2014 at prices ranging from $17.13 to $17.71, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (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 specified above.
- 25% of the total number of options granted vested and became exercisable on each of April 28, 2010, July 28, 2010, October 28, 2010, and January 28, 2011.
- 25% of the total number of options granted vested and became exercisable on each of May 25, 2011, August 25, 2011, November 25, 2011, and February 25, 2012.
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