SEC Form 5 · accession 0000921895-18-000695

ONE Group Hospitality, Inc. · STKS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owners

10% Owner · Other

10% Owner · Other

10% Owner · Other

Period of report

Dec 31, 2017

Accepted (ET)

Feb 14, 2018 · 7:12 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001399520

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 21, 2017	P	28,020	$1.947	A	2,193,776	I	Kanen Wealth Management LLC
Common Stock^F1	Nov 22, 2017	P	3,288	$2.00	A	2,197,064	I	Kanen Wealth Management LLC
Common Stock^F1	Nov 24, 2017	P	6,702	$2.00	A	2,203,766	I	Kanen Wealth Management LLC
Common Stock^F1	Nov 28, 2017	P	2,200	$2.05	A	2,205,966	I	Kanen Wealth Management LLC
Common Stock^F1	Nov 29, 2017	P	40,100	$2.10	A	2,246,066	I	Kanen Wealth Management LLC
Common Stock^F1	Nov 30, 2017	P	17,000	$2.2215	A	2,263,066	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 1, 2017	P	1,100	$2.23	A	2,264,166	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 15, 2017	P	20,475	$2.1493	A	2,284,641	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 21, 2017	P	4,533	$2.1985	A	2,289,174	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 22, 2017	P	22,099	$2.1981	A	2,311,273	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 27, 2017	P	227,724	$2.2197	A	2,538,997	I	Kanen Wealth Management LLC
Common Stock^F1	Dec 28, 2017	P	150,000	$2.2262	A	2,688,997	I	Kanen Wealth Management LLC
Common Stock^F2	Dec 29, 2017	P	35,000	$2.39	A	1,845,000	I	The Philotimo Fund LLC
Common Stock^F2	holding	—	—		—	18,921	D

No Table II lines on this filing.

F1The Form 3 filed by Kanen Wealth Management LLC ("KWM"), Mr. Kanen and The Philotimo Fund LLC on November 20, 2017, indicates that KWM does not own any shares of the Issuer since KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM. To align the Section 16 filings with the Schedule 13D, as amended, filed by KWM and Mr. Kanen, Item 6 of Table 1 above has been revised to reflect KWM's beneficial ownership of the Company's Common Stock as reported in the Schedule 13D, excluding the shares owned by The Philotimo Fund LLC, which are reported separately in Item 6, of Table 1 above.
F2Mr. Kanen beneficially owns 4,553,997 shares of Common Stock, which represent approximately 16.6% of the Company's outstanding shares of Common Stock. Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 2,688,997 shares of Common Stock held in customer accounts managed by KWM (including the 18,921 shares held in Mr. Kanen's account) and the 1,845,000 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM other than the shares held in Mr. Kanen's account.