SEC Form 4 · accession 0001195734-16-000073
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Carlson
Officer — VP, Controller
Period of report
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 6:55 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 | Mar 8, 2016 | P | 500 | $13.85 | A | 500 | 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 | $13.95 | Mar 7, 2016 | A | 5,000 | A | — | Mar 7, 2026 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Option award pursuant to the Potbelly Corporation 2013 Long-Term Incentive Plan.
- F2The option vests in four equal annual installments beginning on the first anniversary of the Transaction Date.