SEC Form 4 · accession 0001144204-16-081080
ONE Group Hospitality, Inc. · STKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Serruya
Director
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 share | Feb 9, 2016 | M | 18,199 | $2.75 | A | 53,279 | D | |
| Common Stock, par value $0.0001 per shareF1 | Feb 9, 2016 | M | 45,018 | $2.75 | A | 283,643 | 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) | $2.75 | Feb 9, 2016 | M | 18,199 | D | Jan 15, 2016 | Feb 9, 2016 | Common Stock, par value $0.0001 per share | 18,199 | 0 | D |
| Subscription Rights (right to buy)F1 | $2.75 | Feb 9, 2016 | M | 45,018 | D | Jan 15, 2016 | Feb 9, 2016 | Common Stock, par value $0.0001 per share | 45,018 | 0 | I |
Explanation of responses
- F145,018 shares of common stock, par value $0.0001 per share, are held by MOS Holdings Inc. MOS Holdings Inc. is an entity owned by Michael Serruya.