SEC Form 4 · accession 0001195734-17-000006
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Ewing
Officer — Senior Vice President
Period of report
Feb 17, 2017
Accepted (ET)
Feb 21, 2017 · 4:12 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 17, 2017 | M | 25,000 | $10.59 | A | 25,000 | D | |
| Common StockF1 | Feb 17, 2017 | S | 25,000 | $13.56 | 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 | $10.59 | Feb 17, 2017 | M | 25,000 | D | — | Feb 26, 2017 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The Common Stock sold by the Reporting Person and reported herein were sold at a range of $13.50 to $13.90 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 stock options vested and became exercisable prior to Potbelly Corporation's initial public offering.