SEC Form 4 · accession 0001179110-16-022715
FAMOUS DAVES OF AMERICA INC · DAVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A. Pawlowski
Officer — Chief Financial Officer
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 9:42 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001021270
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 0 | D | ||
| Common Stock | holding | — | — | — | 1,959 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $5.90 | Apr 1, 2016 | A | 2,000 | D | — | Apr 1, 2017 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1On January 15, 2016, the Reporting Person was granted an option to purchase 6,000 shares of common stock. The option vests in three equal installments based on meeting certain performance criteria. The performance criteria for the third installment has been met, resulting in the vesting of the option as to 2,000 shares.