SEC Form 4 · accession 0000950138-15-000036
NOBLE ROMANS INC · NROM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Ryan Levenson
10% Owner · Other
Privet Fund LP
10% Owner · Other
Privet Fund Management LLC
10% Owner · Other
Period of report
Jan 8, 2015
Accepted (ET)
Jan 12, 2015 · 1:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000709005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3,F1,F2 | Jan 8, 2015 | P | 34,269 | $2.08 | A | 2,485,758 | I | By Privet Fund LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This report is filed jointly by Privet Fund LP, Privet Fund Management LLC and Ryan Levenson (collectively, the "Reporting Persons"). The Reporting Persons are filing this report because each of the Reporting Persons may be deemed to be a member of a Section 13(d) group disclosed in the Schedule 13D filed on behalf of the Reporting Persons and the other members of such group. As of December 29, 2014, the members of this Section 13(d) group collectively owned more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock held by the other members of such Section 13(d) group except to the extent of his or its pecuniary interest therein.
- F2As of January 8th, 2,385,758 shares were owned directly by Privet Fund LP and indirectly by Privet Fund Management LLC and Ryan Levenson, and 100,000 shares were owned by Privet Fund Management LLC and indirectly by Ryan Levenson.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.10, inclusive. The Reporting Persons undertakes to provide to Noble Roman's, Inc., any security holder of Noble Roman's, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3).