SEC Form 4 · accession 0001181431-15-003142
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
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 12:24 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 | Feb 20, 2015 | M | 7,000 | $7.22 | A | 7,000 | D | |
| Common StockF1 | Feb 20, 2015 | S | 7,000 | $15.40 | D | 0 | D | |
| Common Stock | Feb 20, 2015 | M | 15,000 | $8.00 | A | 15,000 | D | |
| Common StocklF1 | Feb 20, 2015 | S | 15,000 | $15.40 | 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)F2 | $7.22 | Feb 20, 2015 | M | 7,000 | D | — | May 10, 2021 | Common Stock | 7,000 | 0 | D |
| Stock Options (right to buy)F2 | $8.00 | Feb 20, 2015 | M | 15,000 | D | — | May 14, 2018 | Common Stock | 15,000 | 5,000 | D |
Explanation of responses
- F1The Common Stock reported herein as being sold were sold at a range of between $15.25 and $15.72 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.
- F2All stock options have vested and are exercisable.