SEC Form 4 · accession 0001127602-15-003069
LUBYS INC · LUB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher James Pappas
Officer — President and CEO · Director · 10% Owner
Period of report
Jan 26, 2015
Accepted (ET)
Jan 28, 2015 · 4:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000016099
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 26, 2015 | P | 3,500 | $4.46 | A | 3,472,943 | D | |
| Common StockF1 | Jan 26, 2015 | P | 800 | $4.53 | A | 3,473,743 | D | |
| Common StockF1 | Jan 26, 2015 | P | 654 | $4.57 | A | 3,474,397 | D | |
| Common StockF1 | Jan 27, 2015 | P | 100 | $4.74 | A | 3,474,497 | D | |
| Common StockF1 | Jan 27, 2015 | P | 14,805 | $4.75 | A | 3,489,302 | D | |
| Common Stock | holding | — | — | — | 1,067,197 | I | By Pappas Restaurants Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person purchased $5,000,000 in aggregate principal amount of convertible subordinated promissory notes in 2001 for the face amount of such notes. The reporting person converted $5,000,000 in aggregate principal amount of convertible subordinated promissory notes on August 31, 2005, at a conversion price of $3.10 per share, resulting in his acquisition of 1,612,903 shares of common stock. No cash consideration was paid or received by the reporting person as a result of such conversion.