SEC Form 4 · accession 0001209191-15-034986
Habit Restaurants, Inc. · HABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Serritella
Officer — Chief Operating Officer
Period of report
Apr 15, 2015
Accepted (ET)
Apr 17, 2015 · 4:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001617977
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Apr 15, 2015 | C | 76,031 | $29.7216 | D | 0 | D | |
| Class B Common Stock | Apr 15, 2015 | D | 76,031 | $0.00 | D | 277,876 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Membership InterestsF2,F1 | — | Apr 15, 2015 | C | 76,031 | D | — | — | Class A Common Stock | 76,031 | 277,876 | D |
Explanation of responses
- F1Each share of Class A Common Stock was issued upon conversion of one (1) unit of The Habit Restaurants, LLC, and the corresponding cancellation of one (1) share of Class B Common Stock. These shares of Class A common stock were sold by the reporting person as a selling stockholder pursuant to an underwritten public offering by the Issuer. The offering closed on April 15, 2015. The reported sale price reflects the price at which the reporting person sold shares to the underwriters.
- F2Each common unit of The Habit Restaurants, LLC is convertible, at The Habit Restaurants, Inc.'s election, generally, into cash or one (1) share of Class A Common Stock and has no expiration date. Upon such conversion, one (1) share of Class B common stock is cancelled.