Filing Details
- Accession Number:
- 0001209191-11-045623
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-25 17:29:27
- Reporting Period:
- 2011-08-24
- Filing Date:
- 2011-08-25
- Accepted Time:
- 2011-08-25 17:29:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1335723 | J Richard Hauser | 50 S. 6Th Street, Suite 1480 Minneapolis MN 55402 | 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 | 2011-08-24 | 5,000 | $2.10 | 85,395 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-08-24 | 5,000 | $3.39 | 90,395 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-08-24 | 5,000 | $5.71 | 85,395 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Director Stock Option (Right to Buy) | Disposition | 2011-08-24 | 5,000 | $2.10 | 5,000 | $2.10 |
| Common Stock | Director Stock Option (Right to Buy) | Disposition | 2011-08-24 | 5,000 | $3.39 | 5,000 | $3.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-04-30 | No | 4 | M | Direct | |
| 0 | 2015-01-28 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 383,407 | Indirect | By Spouse |
| Common Stock | 200,000 | Indirect | By Kona MN, LLC |
| Common Stock | 11,500 | Indirect | By Trust |
Footnotes
- Exercise of options and same day sale of underlying common stock
- Price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.67 to $5.81, 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.
- The reported securities are held by Kona MN, LLC, of which the reporting person and the reporting person's spouse are control persons.
- Shares held by the Children's Educational Trust, for the benefit of the reporting person's children.
- All options were exercisable at the transaction date
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