SEC Form 4 · accession 0000899243-15-000219
Del Taco Restaurants, Inc. · TACO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence F Levy
Director
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 8:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001585583
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 30, 2015 | S | 1,906,219 | $0.006 | D | 1,783,781 | I | See footnote |
| Common StockF3 | Jul 1, 2015 | A | 1,524,000 | $0.00 | A | 1,524,000 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Private Placement WarrantsF1 | $11.50 | Jun 30, 2015 | A | 389,623 | A | Jul 30, 2015 | Jun 30, 2020 | Common Stock | 389,623 | 5,049,623 | I |
Explanation of responses
- F1The securities are held directly by Levy Acquisition Sponsor, LLC (the "Sponsor"). The Reporting Person is a manager of Levy Family Partners, LLC ("LFP"), which is the managing member of the Sponsor. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his actual pecuniary interest therein.
- F2Pro rata distribution from Levy Epic Acquisition Company II, LLC to LFP, a member of Levy Epic Acquisition Company II, LLC. Levy Epic Acquisition Company II, LLC received shares in connection with the merger agreement between the Issuer and Del Taco Holdings, Inc. The transaction reported is exempt under Rule 16b-3(d) promulgated under the Securities Exchange Act of 1934, as amended..
- F3The securities are held directly by LFP. The Reporting Person is a manager of LFP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his actual pecuniary interest therein.