SEC Form 4 · accession 0000914760-16-000458
Del Taco Restaurants, Inc. · TACO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Levy Family Partners, LLC
10% Owner
Period of report
Aug 8, 2016
Accepted (ET)
Aug 10, 2016 · 9:01 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 Stock | Aug 8, 2016 | A | 184,870 | $0.00 | A | 2,501,329 | D |
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,F2 | $11.50 | Aug 8, 2016 | D | 665,000 | D | — | — | Common Stock | 665,000 | 1,104,652 | D |
Explanation of responses
- F1The Reporting Person exchanged 665,000 warrants for 184,870 shares of Common Stock in an exchange offer conducted by the Issuer. The transactions reported in this Form 4 are exempt under Rule 16b-3.
- F2The warrants became exercisable on July 30, 2015 and will expire on June 30, 2020 or earlier upon certain events.