Filing Details
- Accession Number:
- 0001275158-20-000132
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-03 16:11:07
- Reporting Period:
- 2020-12-01
- Accepted Time:
- 2020-12-03 16:11:07
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1275158 | Noodles & Co | NDLS | Retail-Eating Places (5812) | 841303469 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1544498 | Michael James Chu | 599 West Putnam Avenue Greenwich CT 06830 | No | No | Yes | No | |
| 1545446 | Arnold Scott Dahnke | 599 West Putnam Avenue Greenwich CT 06830 | No | No | Yes | No | |
| 1555549 | Cp6 Management, L.l.c. | 599 West Putnam Avenue Greenwich CT 06830 | No | No | Yes | No | |
| 1580004 | Catterton-Noodles, Llc | 599 West Putnam Avenue Suite 200 Greenwich CT 06830 | No | No | Yes | Yes | |
| 1821968 | Catterton-Noodles Holdings, Llc | 599 West Putnam Avenue Suite 200 Greenwich CT 06830 | No | No | Yes | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2020-12-01 | 1,000,000 | $7.50 | 1,787,476 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Warrants to Purchase Class A Common Stock | $4.35 | 2017-08-09 | 2022-02-09 | 1,913,793 | 1,913,793 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-02-09 | 1,913,793 | 1,913,793 | Indirect |
Footnotes
- On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.
- Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner.
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