SEC Form 4 · accession 0001144204-16-095907
ONE Group Hospitality, Inc. · STKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Celeste Fierro
Officer — See Remarks
Period of report
Jun 5, 2014
Accepted (ET)
Apr 25, 2016 · 6:02 am EDT
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 | Oct 1, 2015 | G | 41,250 | $0.00 | A | 342,061 | D | |
| Common Stock, par value $0.0001 per shareF2 | Apr 8, 2016 | A | 125,000 | $0.00 | A | 467,061 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common Stock, par value $0.0001 per shareF3 | $4.85 | Jun 5, 2014 | A | 250,000 | A | — | Jun 5, 2024 | Common Stock, par value $0.0001 per share | 250,000 | 0 | D |
Explanation of responses
- F1These gifted shares are being reported late due to an inadvertent administrative error.
- F2Of the shares of common stock reported, 125,000 are represented by restricted stock units that will vest in equal increments upon the first five anniversaries of the grant date, with 25,000 units vesting on each such date.
- F3These options vest ratably over a five year period on the anniversary of the date of grant. These options are being reported late due to an inadvertent administrative error.
Remarks
Title: Senior Vice President of Marketing, Sales and Events