Filing Details
- Accession Number:
- 0001195734-15-000047
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-17 17:10:00
- Reporting Period:
- 2015-11-16
- Filing Date:
- 2015-11-17
- Accepted Time:
- 2015-11-17 17:10:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1634921 | Joshua Boyer | 111 N. Canal Suite 850 Chicago IL 60606 | Controller | 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 | 2015-11-16 | 6,000 | $10.59 | 7,558 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-16 | 158 | $9.47 | 7,716 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-16 | 3,000 | $9.60 | 10,716 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-16 | 9,158 | $11.88 | 1,558 | 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 | 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 | 2015-11-16 | 158 | $0.00 | 158 | $9.47 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-11-16 | 3,000 | $0.00 | 3,000 | $9.60 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-11-16 | 6,000 | $0.00 | 6,000 | $10.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 239 | 2023-03-05 | No | 4 | M | Direct | |
| 2,000 | 2022-10-30 | No | 4 | M | Direct | |
| 9,000 | 2023-08-05 | No | 4 | M | Direct |
Footnotes
- The Common Stock reported herein as being sold were sold at a range of between $11.86 and $11.91 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 option vests in five equal annual installments beginning on the first anniversary of the Transaction Date.
- The stock options were vested and exercisable as to 2,000 shares as of August 27, 2014 and become vested and exercisable in equal installments on August 27, 2015, August 27, 2016 and August 27, 2017.
- The stock options were vested and exercisable as to 3,000 shares as of August 5, 2014 and become vested and exercisable in equal installments on August 5, 2015, August 5, 2016, August 5, 2017 and August 5, 2018.
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