Filing Details
- Accession Number:
- 0001209191-14-069046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-17 10:43:41
- Reporting Period:
- 2014-11-12
- Filing Date:
- 2014-11-17
- Accepted Time:
- 2014-11-17 10:43:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1466591 | R James Jundt | 33717 North Scottsdale Road Suite 120 Scottsdale AZ 85266 | 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 | 2014-11-12 | 10,000 | $3.70 | 706,611 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 1,875 | $5.15 | 708,486 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 15,000 | $5.37 | 723,486 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-12 | 8,125 | $8.71 | 731,611 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-13 | 2,646 | $22.88 | 728,965 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-11-14 | 5,356 | $22.77 | 723,609 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | Director Stock Option (Right to Buy) | Disposition | 2014-11-12 | 10,000 | $3.70 | 10,000 | $3.70 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-11-12 | 1,875 | $5.15 | 1,875 | $5.15 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-11-12 | 15,000 | $5.37 | 15,000 | $5.37 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2014-11-12 | 8,125 | $8.71 | 8,125 | $8.71 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-11-15 | No | 4 | M | Direct | |
| 0 | 2016-02-24 | No | 4 | M | Direct | |
| 0 | 2017-02-27 | No | 4 | M | Direct | |
| 0 | 2018-02-06 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,280 | Indirect | By Spouse |
| Common Stock | 7,355 | Indirect | Held in IRA for benefit of the Reporting Person's Spouse |
Footnotes
- Price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.71 to $23.02, 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. The shares were sold in multiple transactions at prices ranging from $22.59 to $23.00, 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.
- All options were exercisable at the transaction date
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