SEC Form 4 · accession 0001493152-16-016164
Chanticleer Holdings, Inc. · BURG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Evan Kraut
Director
Period of report
Dec 21, 2016
Accepted (ET)
Dec 22, 2016 · 9:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001106838
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series 1 Preferred StockF1,F3 | Dec 21, 2016 | P | 300 | $13.50 | A | 300 | D | |
| Common Stock | holding | — | — | — | 186,623 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series 1 WarrantsF2,F3,F7,F4,F5,F6 | $13.50 | Dec 21, 2016 | A | 300 | A | — | — | Common Stock | 3,000 | 300 | D |
Explanation of responses
- F1This Series 1 Preferred Stock was purchased as part of a rights offering to purchase units, each consisting of one Series 1 Preferred Share and one Series 1 Warrant.
- F2These Series 1 Warrants were purchased as part of a rights offering to purchase units, each consisting of one Series 1 Preferred Share and one Series 1 Warrant.
- F3This purchase price is for the total number of units purchased.
- F4These warrants are exercisable at any time at any time and from time to time on or before the seventh anniversary of the date of issuance.
- F5These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date.
- F6Each Series 1 Warrant is exercisable into 10 shares of common stock.
- F7The price is paid by surrendering one share of Series 1 Preferred stock.