SEC Form 4 · accession 0001144204-16-081079
ONE Group Hospitality, Inc. · STKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel Goldfinger
Officer — Chief Financial Officer
Period of report
Feb 9, 2016
Accepted (ET)
Feb 11, 2016 · 8:47 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, par value $0.0001 per shareF1 | Feb 9, 2016 | M | 13,842 | $2.75 | A | 251,504 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy)F1 | $2.75 | Feb 9, 2016 | M | 13,842 | D | Jan 15, 2016 | Feb 9, 2016 | Common Stock, par value $0.0001 per share | 13,842 | 0 | I |
Explanation of responses
- F1These securities are owned directly by the TOG Liquidating Trust ("Liquidating Trust") for the benefit of the former members and warrant holders of The One Group, LLC, a Delaware limited liability company ("One Group") and now a wholly-owned subsidiary of the Issuer. As the Trustee of the Liquidating Trust, the Reporting Person may be deemed the beneficial owner of the securities directly owned by the Liquidating Trust. The Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.