Filing Details
- Accession Number:
- 0001195734-16-000078
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-04-18 13:17:19
- Reporting Period:
- 2016-04-13
- Filing Date:
- 2016-04-18
- Accepted Time:
- 2016-04-18 13:17:19
- 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 | 111 N. Canal Suite 850 Chicago IL 60606 | 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 | 2016-04-13 | 9,604 | $9.60 | 9,604 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-04-13 | 9,604 | $14.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-04-13 | 396 | $9.60 | 396 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-04-13 | 396 | $14.00 | 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 |
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 | 2016-04-13 | 9,604 | $0.00 | 9,604 | $9.60 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2016-04-13 | 396 | $0.00 | 396 | $9.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 44,128 | 2022-12-03 | No | 4 | M | Direct | |
| 43,732 | 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 stock options vested and became exercisable prior to Potbelly Corporation's initial public offering.
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