SEC Form 4/A · accession 0001209191-15-008746
KONA GRILL INC · KONA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Berke Bakay
Officer — President and CEO · Director · 10% Owner
Period of report
Nov 25, 2014
Accepted (ET)
Feb 3, 2015 · 4:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001265572
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2,F1 | $6.98 | Nov 25, 2014 | M | 100,000 | D | — | Jan 29, 2017 | Common Stock | 100,000 | 100,000 | D |
| Employee Stock Option (Right to Buy)F3,F1 | $8.71 | Nov 25, 2014 | M | 7,500 | D | — | Feb 6, 2018 | Common Stock | 7,500 | 22,500 | D |
Explanation of responses
- F1All options were exercisable at the transaction date.
- F2This amendment to Form 4 is being filed to indicate that a balance of the option remains. The remainder will vest in 2 equal annual installments, beginning 1/30/2015 and ending on 1/30/2016.
- F3This amendment to Form 4 is being filed to indicate that a balance of the option remains. The remainder will vest in 3 equal annual installments, beginning 2/7/2015 and ending on 2/7/2017.