SEC Form 4/A · accession 0001680070-18-000005
NOBLE ROMANS INC · NROM
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 owner
Marcel Herbst
Director
Period of report
Sep 4, 2018
Accepted (ET)
Sep 10, 2018 · 3:16 pm EDT
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 StockF1 | Sep 4, 2018 | S | 4,100 | $0.64 | D | 407,900 | I | footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1221900 shares are held in the account of Herbst Capital Management, LLC. (the ""fund"") for which Herbst Capital Partners, LLC (the ""General Partner"") serves as its manager. Marcel Herbst is the General Manager of Herbst Capital Partners, LLC and also serves as the Portfolio Manager of Herbst Capital Management, LLC. Mr. Herbst may be deemed to beneficially own these securities held by the fund by virtue of the General Partner's position in the fund and Mr. Herbst's status as the general manager of the General Partner and his status as portfolio manager of the fund. 186000 shares are held in individual client accounts over which Marcel Herbst has discretionary trading authority. By virtue of this discretionary trading authority, these shares can be deemed beneficially owned"