SEC Form 4 · accession 0001195734-18-000007
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
Mar 12, 2018
Accepted (ET)
Mar 13, 2018 · 5:45 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 | Mar 12, 2018 | M | 5,000 | $7.22 | A | 13,088 | D | |
| Common StockF1 | Mar 12, 2018 | S | 5,000 | $13.16 | D | 8,088 | D | |
| Common Stock | Mar 12, 2018 | M | 4,220 | $7.00 | A | 12,308 | D | |
| Common StockF1 | Mar 12, 2018 | S | 4,220 | $13.16 | D | 8,088 | 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 | $7.00 | Mar 12, 2018 | M | 4,220 | D | — | Jul 1, 2020 | Common Stock | 4,220 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2 | $7.22 | Mar 12, 2018 | M | 5,000 | D | — | May 10, 2021 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The Common Stock sold by the Reporting Person and reported herein were sold at a range of $13.10 to $13.23 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.