Filing Details
- Accession Number:
- 0001195734-15-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-13 13:15:00
- Reporting Period:
- 2015-04-09
- Filing Date:
- 2015-04-13
- Accepted Time:
- 2015-04-13 13:15:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1195734 | Potbelly Corp | PBPB | Retail-Eating Places (5812) | 364466837 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1587657 | B John Morlock | 222 Merchandise Mart Plaza 23Rd Floor Chicago IL 60654 | Svp, Operations | 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 | 2015-04-09 | 3,636 | $8.00 | 3,636 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-09 | 3,636 | $14.23 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-04-09 | 18,939 | $9.60 | 18,939 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-09 | 18,939 | $14.23 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-04-09 | 2,425 | $8.00 | 2,425 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-09 | 2,425 | $14.23 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-04-09 | 5,000 | $8.00 | 5,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-09 | 5,000 | $14.23 | 0 | 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 | 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2015-04-09 | 5,000 | $0.00 | 5,000 | $8.00 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-04-09 | 3,636 | $0.00 | 3,636 | $8.00 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-04-09 | 2,425 | $0.00 | 2,425 | $8.00 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-04-09 | 18,939 | $0.00 | 18,939 | $9.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-05-14 | No | 4 | M | Direct | |
| 2,425 | 2019-08-05 | No | 4 | M | Direct | |
| 0 | 2019-08-05 | No | 4 | M | Direct | |
| 125,732 | 2022-12-03 | No | 4 | M | Direct |
Footnotes
- These shares were sold in compliance with a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- The Common Stock reported herein as being sold were sold at a range of between $14.03 and $14.51 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
- The stock options vested and became exercisable prior to Potbelly Corporation's initial public offering.
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