SEC Form 4 · accession 0001195734-19-000004
POTBELLY CORP · PBPB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Revord
Officer — SVP, GC and Secretary
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 4:22 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 | Jan 4, 2019 | M | 6,000 | $8.00 | A | 18,010 | D | |
| Common StockF1 | Jan 4, 2019 | S | 6,000 | $8.15 | D | 12,010 | D | |
| Common Stock | Jan 4, 2019 | M | 12,200 | $8.00 | A | 24,210 | D | |
| Common StockF1 | Jan 4, 2019 | S | 12,200 | $8.15 | D | 12,010 | D | |
| Common Stock | holding | — | — | — | 13,775 | I | by Trust |
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 | Jan 4, 2019 | M | 12,200 | D | — | Jan 22, 2019 | Common Stock | 12,200 | 6,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $8.00 | Jan 4, 2019 | M | 6,000 | D | — | Jan 22, 2019 | Common Stock | 6,000 | 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.