SEC Form 4/A · accession 0001638599-16-000543
Shake Shack Inc. · SHAK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
David A Swinghamer
10% Owner
A. Swinghamer Grat David
10% Owner
Susan Swinghamer
10% Owner
Period of report
Nov 12, 2015
Accepted (ET)
Jan 28, 2016 · 6:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001620533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CLASS A COMMON STOCKF1,F2,F3 | Nov 12, 2015 | C | 198,513 | $0.00 | A | 198,513 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 16, 2015, the reporting person filed a Form 4 (the "Original Form 4"), which disclosed a transaction pursuant to which 198,513 common membership interests in SSE Holdings, LLC (the "LLC Interests") held by the David A. Swinghamer GRAT were redeemed for an equal number of shares of the Issuer's Class A Common Stock, and in connection therewith, 198,513 shares of the Issuer's Class B Common Stock held by the David A. Swinghamer GRAT were cancelled for no consideration pursuant to the Amended and Restated Certificate of Incorporation of the Issuer. The Original Form 4 and 5 subsequently filed Forms 4 omitted the ownership by the David A. Swinghamer GRAT of the 198,513 shares of the Issuer's Class A Common Stock acquired in connection with the redemption.
- F2Shares obtained upon redemption of the LLC Interests for an equal number of shares of the Issuer's Class A Common Stock.
- F3Held directly by the David A. Swinghamer GRAT, of which Susan Swinghamer, the reporting person's wife, is the trustee and beneficiary. Each of David Swinghamer and Susan Swinghamer disclaims beneficial ownership of the shares and LLC Interests, as applicable, reported herein, except to the extent of his or her pecuniary interest therein.