SEC Form 4 · accession 0001195734-15-000047
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua Boyer
Officer — Controller
Period of report
Nov 16, 2015
Accepted (ET)
Nov 17, 2015 · 5:10 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 | Nov 16, 2015 | M | 6,000 | $10.59 | A | 7,558 | D | |
| Common Stock | Nov 16, 2015 | M | 158 | $9.47 | A | 7,716 | D | |
| Common Stock | Nov 16, 2015 | M | 3,000 | $9.60 | A | 10,716 | D | |
| Common StockF1 | Nov 16, 2015 | S | 9,158 | $11.88 | D | 1,558 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $9.47 | Nov 16, 2015 | M | 158 | D | — | Mar 5, 2023 | Common Stock | 158 | 239 | D |
| Non-Qualified Stock Option (right to buy)F3 | $9.60 | Nov 16, 2015 | M | 3,000 | D | — | Oct 30, 2022 | Common Stock | 3,000 | 2,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $10.59 | Nov 16, 2015 | M | 6,000 | D | — | Aug 5, 2023 | Common Stock | 6,000 | 9,000 | D |
Explanation of responses
- F1The Common Stock reported herein as being sold were sold at a range of between $11.86 and $11.91 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.
- F2The option vests in five equal annual installments beginning on the first anniversary of the Transaction Date.
- F3The stock options were vested and exercisable as to 2,000 shares as of August 27, 2014 and become vested and exercisable in equal installments on August 27, 2015, August 27, 2016 and August 27, 2017.
- F4The stock options were vested and exercisable as to 3,000 shares as of August 5, 2014 and become vested and exercisable in equal installments on August 5, 2015, August 5, 2016, August 5, 2017 and August 5, 2018.