SEC Form 4 · accession 0001437749-16-042624
KONA GRILL INC · KONA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Hauser
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 25, 2016 · 10:54 am EST
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 Stock | Nov 23, 2016 | M | 10,000 | $5.37 | A | 102,895 | D | |
| Common Stock | holding | — | — | — | 386,893 | I | By Spouse | |
| Common Stock | holding | — | — | — | 100,000 | I | By Kona MN, LLC | |
| Common Stock | holding | — | — | — | 4,000 | I | By a Trust for the Benefit of the Reporting Person's Children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock OptionF1 | $5.37 | Nov 23, 2016 | M | 10,000 | D | — | Feb 27, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1All options were exercisable as of the transaction date