SEC Form 4 · accession 0001195734-16-000078
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Morlock
Officer — SVP, Operations
Period of report
Apr 13, 2016
Accepted (ET)
Apr 18, 2016 · 1:17 pm EDT
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 | Apr 13, 2016 | M | 9,604 | $9.60 | A | 9,604 | D | |
| Common StockF1 | Apr 13, 2016 | S | 9,604 | $14.00 | D | 0 | D | |
| Common Stock | Apr 13, 2016 | M | 396 | $9.60 | A | 396 | D | |
| Common StockF1 | Apr 13, 2016 | S | 396 | $14.00 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $9.60 | Apr 13, 2016 | M | 9,604 | D | — | Dec 3, 2022 | Common Stock | 9,604 | 44,128 | D |
| Non-Qualified Stock Option (right to buy)F2 | $9.60 | Apr 13, 2016 | M | 396 | D | — | Dec 3, 2022 | Common Stock | 396 | 43,732 | 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 stock options vested and became exercisable prior to Potbelly Corporation's initial public offering.