SEC Form 4 · accession 0001437749-16-037854
KONA GRILL INC · KONA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christi Hing
Officer — Chief Financial Officer
Period of report
Aug 17, 2016
Accepted (ET)
Aug 19, 2016 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001265572
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 17, 2016 | M | 5,000 | $5.78 | A | 37,720 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $5.78 | Aug 17, 2016 | M | 5,000 | D | — | Oct 26, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Includes 305 shares acquired under the Kona Grill Employee Stock Purchase Plan during 2016.
- F2All options were exercisable as of the transaction date