SEC Form 4 · accession 0001434990-18-000001
ONE Group Hospitality, Inc. · STKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kin Chan
Director
Period of report
Sep 13, 2018
Accepted (ET)
Sep 14, 2018 · 6:44 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,F2 | Sep 13, 2018 | X | 60,000 | $1.63 | A | 180,000 | I | By ASM Co-Investment Term Trust I |
| Common Stock, par value $0.0001 per shareF1,F2 | Sep 13, 2018 | X | 260,000 | $1.63 | A | 780,000 | I | By ASM Connaught House Fund LP |
| Common Stock, par value $0.0001 per shareF1,F2 | Sep 13, 2018 | X | 180,000 | $1.63 | A | 540,000 | I | By ASM Connaught House (Master) Fund II LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $1.63 | Sep 13, 2018 | X | 60,000 | D | May 15, 2018 | May 15, 2023 | Common Stock | 60,000 | 0 | I |
| WarrantsF2 | $1.63 | Sep 13, 2018 | X | 260,000 | D | May 15, 2018 | May 15, 2023 | Common Stock | 260,000 | 0 | I |
| WarrantsF2 | $1.63 | Sep 13, 2018 | X | 180,000 | D | May 15, 2018 | May 15, 2023 | Common Stock | 180,000 | 0 | I |
Explanation of responses
- F1Represents shares of common stock acquired through the exercise of warrants on September 3, 2018 at a price of $1.63 per share.
- F2Argyle Street Management Limited is the investment manager of each of ASM Co-Investment Term Trust I, ASM Connaught House Fund LP and ASM Connaught House (Master) Fund II LP. Kin Chan is the Chief Investment Officer of Argyle Street Management.