SEC Form 4 · accession 0001195734-18-000045
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marla C Gottschalk
Director
Period of report
Aug 21, 2018
Accepted (ET)
Aug 24, 2018 · 11:17 am 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 | Aug 21, 2018 | M | 19,300 | $8.00 | A | 120,996 | D | |
| Common StockF1 | Aug 21, 2018 | S | 19,300 | $14.00 | D | 101,696 | 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 | $8.00 | Aug 21, 2018 | M | 19,300 | D | — | Oct 19, 2018 | Common Stock | 19,300 | 0 | 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.