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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (1) | 02/09/2017 | P(2) | 18,500 | 02/09/2017 | (3) | Class A Common Stock | 4,252,873 | $ 1,000 | 4,252,873 | I (4) | Catterton-Noodles, LLC | |||
Warrants to Purchase Class A Common Stock | $ 4.35 | 02/09/2017 | P(2) | 1,913,792 | 08/09/2017 | 02/09/2022 | Class A Common Stock | 1,913,792 | $ 0 | 1,913,792 | I (4) | Catterton-Noodles, LLC |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Catterton-Noodles, LLC 599 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
X | |||
Dahnke Scott Arnold 599 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
X | X | ||
Chu James Michael 599 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
X | |||
CP6 Management, L.L.C. 599 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
X |
/s/ J. Michael Chu | 02/09/2017 | |
**Signature of Reporting Person | Date | |
/s/ Scott A. Dahnke | 02/09/2017 | |
**Signature of Reporting Person | Date | |
/s/ Scott A. Dahnke (Authorized Person for CP6 Management, L.L.C.) | 02/09/2017 | |
**Signature of Reporting Person | Date | |
/s/ Scott A. Dahnke (Authorized Person for Catterton-Noodles, LLC) | 02/09/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each share of Series A Convertible Preferred Stock is convertible at any time at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Series A Convertible Preferred Stock. |
(2) | On February 8, 2017, Noodles & Company and Catterton-Noodles, LLC ("Catterton Noodles") entered into a Securities Purchase Agreement, pursuant to which Catterton Noodles acquired the securities reported on this Form 4. |
(3) | The shares of Series A Convertible Preferred Stock have no expiration date. |
(4) | The securities reported on this Form 4 are held of record by Catterton Noodles. CP Management 6, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6. |