SEC Form 4 · accession 0001195734-18-000041
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Younglove-Webb
Officer — SVP, Operations
Period of report
Mar 7, 2018
Accepted (ET)
Jun 15, 2018 · 3:37 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 StockF1 | Mar 7, 2018 | F | 2,030 | $13.20 | D | 15,617 | D | |
| Common Stock | Jun 13, 2018 | M | 20,000 | $8.00 | A | 35,617 | D | |
| Common StockF2 | Jun 13, 2018 | S | 20,000 | $13.10 | D | 15,617 | 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)F3 | $8.00 | Jun 13, 2018 | M | 20,000 | D | — | Jan 7, 2019 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Shares withheld to satisfy tax obligation applicable to the vesting of restricted stock units.
- F2These 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.
- F3All stock options have vested and are exercisable.