SEC Form 4 · accession 0001493152-18-015697
Fat Brands, Inc · FAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
FOG CUTTER CAPITAL GROUP INC
10% Owner
Period of report
Apr 16, 2018
Accepted (ET)
Nov 13, 2018 · 12:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001705012
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Fixed Rate Cumulative Preferred StockF1 | Jun 27, 2018 | P$0 | 20,000 | — | A | 20,000 | D | |
| Series A Fixed Rate Cumulative Preferred StockF1 | Oct 31, 2018 | S$0 | 5,000 | — | D | 15,000 | D | |
| Common Stock | Apr 16, 2018 | P | 153,600 | $6.25 | A | 8,153,600 | D | |
| Common Stock | Jun 27, 2018 | P | 989,395 | $7.35 | A | 9,142,995 | D | |
| Common Stock | Jul 16, 2018 | P | 157,765 | $6.085 | A | 9,300,760 | D | |
| Common Stock | Oct 31, 2018 | P | 176,877 | $6.31 | A | 9,477,637 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $8.00 | Jun 27, 2018 | P | 25,000 | A | Jun 27, 2018 | Jun 27, 2023 | Common | 25,000 | 25,000 | D |
| Warrant to Purchase Common StockF1 | $8.00 | Oct 31, 2018 | S | 6,250 | A | Jun 27, 2018 | Jun 27, 2023 | Common | 6,250 | 18,750 | D |
Explanation of responses
- F1The reported securities are included within 200 Units purchased by the reporting person on June 27, 2018 for $10,000 per Unit. Each Unit consists of 100 shares of Series A Fixed Rate Cumulative Preferred Stock and a Warrant to purchase 125 shares of Common Stock at $8.00 per share. On October 31, 2018, 50 Units were sold by the reporting person for the same price of $10,000 per Unit.