SEC Form 4 · accession 0000921895-15-000541
NATHANS FAMOUS, INC. · NATH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Raich
Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 4, 2015 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000069733
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 3, 2015 | M | 15,000 | $13.08 | A | 19,546 | D | |
| Common StockF2 | Mar 3, 2015 | M | 7,500 | $17.75 | A | 27,046 | D | |
| Common StockF3 | holding | — | — | — | 5,510 | I | By Raich Ende Malter & Co., LLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2002 Stock Incentive Plan (Right to Buy)F4 | $13.08 | Mar 3, 2015 | M | 15,000 | D | — | Jun 13, 2016 | Common Stock | 15,000 | 0 | D |
| 2010 Stock Incentive Plan (Right to Buy)F5 | $17.75 | Mar 3, 2015 | M | 7,500 | D | — | Jun 5, 2016 | Common Stock | 7,500 | 2,500 | D |
Explanation of responses
- F1These shares were acquired through the exercise of stock options granted on June 14, 2006 pursuant to the Issuer's 2002 Stock Incentive Plan.
- F2These shares were acquired through the exercise of stock options granted on June 6, 2011 pursuant to the Issuer's 2010 Stock Incentive Plan.
- F3These shares are owned by Raich Ende Malter & Co., LLP, an entity of which Mr. Raich is the founding partner.
- F4Options vested 20% on each of the first through fifth anniversaries of June 14, 2006, the grant date.
- F5Options vested 25% on each of the first through fourth anniversaries of June 6, 2011, the grant date.