SEC Form 4 · accession 0001493152-16-016300
Chanticleer Holdings, Inc. · BURG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D Pruitt
Officer — CEO, Chairman · Director
Period of report
Dec 29, 2016
Accepted (ET)
Dec 30, 2016 · 6:15 am 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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 29, 2016 | P | 300 | $0.43 | A | 7,900 | I | By IRA |
| Common Stock | holding | — | — | — | 172,251 | D | ||
| Common Stock | holding | — | — | — | 35,050 | I | By Avenel Financial Group, Inc. | |
| Series 1 Preferred Stock | holding | — | — | — | 100 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series 1 WarrantsF1,F2,F3,F4 | $13.50 | holding | — | — | — | — | — | Common Stock | 1,000 | 100 | I |
Explanation of responses
- F1The price is paid by surrendering one share of Series 1 Preferred stock.
- F2These 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.
- F3These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date.
- F4Each Series 1 Warrant is exercisable into 10 shares of common stock.