SEC Form 4 · accession 0001181431-15-000035
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Morlock
Officer — Chief Operations Officer
Period of report
Dec 30, 2014
Accepted (ET)
Jan 2, 2015 · 3:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001195734
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 30, 2014 | M | 13,000 | $12.00 | A | 13,000 | D | |
| Common StockF1,F2 | Dec 30, 2014 | S | 13,000 | $12.26 | D | 0 | D |
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)F3 | $12.00 | Dec 30, 2014 | M | 13,000 | D | — | Jan 1, 2015 | Common Stock | 13,000 | 0 | D |
Explanation of responses
- F1These shares were sold in compliance with a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The Common Stock reported herein as being sold were sold at a range of between $12.25 and $12.30 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent.
- F3The stock options vested and became exercisable prior to Potbelly Corporation's initial public offering.