SEC Form 4 · accession 0001209191-18-025148
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 16, 2018
Accepted (ET)
Apr 17, 2018 · 2:42 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 16, 2018 | A | 10,000 | $0.00 | A | 36,353 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonstatutory Stock Option (right to buy)F2 | $9.10 | Apr 16, 2018 | A | 35,000 | A | — | Apr 16, 2028 | Class A Common Stock | 35,000 | 117,510 | D |
Explanation of responses
- F1Represents shares of restricted stock granted to Mr. Serritella under the Company's 2014 Omnibus Incentive Plan. The awards vest in equal installments over five years, with one-fifth of the total award vesting on the first, second, third, fourth and fifth anniversary date.
- F2The Nonstatutory Stock Option is exercisable in the following cumulative installments prior to the Expiration date: 7,000 shares on or after April 16, 2019; an additional 7,000 shares on or after April 16, 2020; an additional 7,000 shares on or after April 16, 2021; an additional 7,000 shares on or after April 16, 2022; and an additional 7,000 shares on or after April 16, 2023.