Filing Details
- Accession Number:
- 0001209191-11-058248
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-28 20:07:31
- Reporting Period:
- 2011-11-23
- Filing Date:
- 2011-11-28
- Accepted Time:
- 2011-11-28 20:07:31
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1017712 | Hot Topic Inc | HOTT | Retail-Apparel & Accessory Stores (5600) | 770198182 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1349005 | R Steven Becker | 300 Crescent Court Suite 1111 Dallas TX 75201 | 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 | 2011-11-23 | 26,121 | $6.77 | 3,434,470 | No | 4 | P | Indirect | See Footnotes |
Common Stock | Acquisiton | 2011-11-23 | 3,879 | $6.77 | 3,438,349 | No | 4 | P | Indirect | See Footnotes |
Common Stock | Acquisiton | 2011-11-23 | 25,000 | $6.77 | 3,463,349 | No | 4 | P | Indirect | See Footnotes |
Common Stock | Acquisiton | 2011-11-23 | 15,000 | $6.81 | 3,478,349 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 6,345 | Direct |
Footnotes
- This statement is filed by and on behalf of Steven R. Becker. Becker Drapkin Partners (QP), L.P. ("QP Fund"), Becker Drapkin Partners, L.P. ("LP Fund"), BD Partners I, L.P. ("BD Partners I"), Mr. Becker and a managed account (the "Managed Account") are the direct beneficial owners of the securities covered by this statement. Becker Drapkin Management, L.P. ("BD Management") is the general partner of, and the investment manager for, each of QP Fund, LP Fund and BD Partners I and provides investment advisory services for the Managed Account. BD Management may be deemed to beneficially own securities owned by QP Fund, LP Fund, BD Partners I and the Managed Account. BC Advisors, LLC ("BC Advisors") is the general partner of BD Management and may be deemed to beneficially own securities owned by BD Management. Matthew A. Drapkin and Mr. Becker are the co-managing members of BC Advisors and may be deemed to beneficially own securities owned by BC Advisors.
- The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. The reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
- The reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. The reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer.
- Includes (a) 925,807 shares directly beneficially owned by QP Fund, (b) 116,364 shares directly beneficially owned by LP Fund, (c) 1,258,799 shares directly beneficially owned by BD Partners I and (d) 1,133,500 shares directly beneficially owned by the Managed Account.
- Includes (a) 925,807 shares directly beneficially owned by QP Fund, (b) 120,243 shares directly beneficially owned by LP Fund, (c) 1,258,799 shares directly beneficially owned by BD Partners I and (d) 1,133,500 shares directly beneficially owned by the Managed Account.
- Includes (a) 925,807 shares directly beneficially owned by QP Fund, (b) 120,243 shares directly beneficially owned by LP Fund, (c) 1,283,799 shares directly beneficially owned by BD Partners I and (d) 1,133,500 shares directly beneficially owned by the Managed Account.
- Includes (a) 925,807 shares directly beneficially owned by QP Fund, (b) 120,243 shares directly beneficially owned by LP Fund, (c) 1,283,799 shares directly beneficially owned by BD Partners I and (d) 1,148,500 shares directly beneficially owned by the Managed Account.
- Includes 3,526 unvested shares of restricted stock, which are subject to forfeiture to the issuer under certain circumstances. Such forfeiture right will lapse on the earlier of (i) June 7, 2012 or (ii) the date of the next annual shareholders meeting of the issuer.