4//SEC Filing
LAPOINT WILLIAM J 4
Accession 0000904454-03-000528
CIK 0000949373other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 5:47 PM ET
Size
20.3 KB
Accession
0000904454-03-000528
Insider Transaction Report
Form 4
LAPOINT WILLIAM J
10% Owner
Transactions
- Purchase
Warrant to Purchase Common Stock
2003-06-15+381,667→ 381,667 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-06-15Exp: 2006-06-20→ Common Stock (381,667 underlying) - Purchase
Warrant to Purchase Common Stock
2002-12-15+313,420→ 313,420 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2002-12-15Exp: 2006-06-20→ Common Stock (313,420 underlying) - Purchase
Warrant to Purchase Common Stock
2002-12-31+2,422,204→ 2,422,204 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2002-12-31Exp: 2006-06-20→ Common Stock (2,422,204 underlying) - Purchase
Warrant to Purchase Common Stock
2003-04-15+370,060→ 370,060 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-04-15Exp: 2006-06-20→ Common Stock (370,060 underlying) - Purchase
Warrant to Purchase Common Stock
2003-03-15+364,401→ 364,401 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-03-15Exp: 2006-06-20→ Common Stock (364,401 underlying) - Purchase
Warrant to Purchase Common Stock
2003-02-15+358,829→ 358,829 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-02-15Exp: 2006-06-20→ Common Stock (358,829 underlying) - Purchase
Warrant to Purchase Common Stock
2003-05-15+375,765→ 375,765 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-05-15Exp: 2006-06-20→ Common Stock (375,765 underlying) - Sale
Common Stock, $.001 par value
2003-09-30−23,264,107→ 0 total(indirect: By Halpern Denny III, L.P.) - Purchase
Warrant to Purchase Common Stock
2002-11-15+314,547→ 314,547 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2002-11-15Exp: 2006-06-20→ Common Stock (314,547 underlying) - Purchase
Warrant to Purchase Common Stock
2003-01-15+353,389→ 353,389 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-01-15Exp: 2006-06-20→ Common Stock (353,389 underlying) - Purchase
Warrant to Purchase Common Stock
2003-09-30−13,711,054→ 0 total(indirect: By Halpern Denny III, L.P.)Exercise: $0.01From: 2003-09-30Exp: 2006-06-20→ Common Stock (13,711,054 underlying)
Footnotes (5)
- [F1]Halpern Denny III, L.P. ("HD III") agreed to acquire an aggregate of 57,000 shares of Series Z Preferred Stock of New World Restaurant Group, Inc. in exchange for 56,237.994 shares of Series F Preferred Stock, 23,264,107 shares of Common Stock and Warrants to purchase 13,711,054 shares of Common Stock of New World Restaurant Group, Inc. in a private transaction.
- [F2]By HD III. The reporting person is one of several managing members of the sole general partner of HD III. Pursuant to Instruction 4(b)(iv) of Form 4, the reporting person has elected to report as indirectly beneficially owned the entire number of securities reported as beneficially owned by such limited partnership. The reporting person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- [F3]HD III was entitled to receive the Warrants on a periodic basis and as a result of the trigger of anti-dilution provisions after September 2002. Although the Warrants are issued as of the indicated date, new World Restaurant Group, Inc. did not receive the Warrants on the scheduled dates and the Warrants were recently issued by new World Restaurant Group, Inc.
- [F4]In connection with the ownership by HD III of warrants to purchase common Stock of New World Restaurant Group, Inc., HD III is entitled to receive, without further consideration, additional warrants to purchase Common Stock at an exercise price of $.01 per share pursuant to the antidilution provisions of such warrants.
- [F5]In connection with the ownership by HD III of shares of Series F Preferred Stock of New World Restaurant Group, Inc., HD III is entitled to receive, without further consideration, additional warrants to purchase Common Stock at an exercise price of $.01 per share in the event that certain events do not occur.
Documents
Issuer
NEW WORLD RESTAURANT GROUP INC
CIK 0000949373
Entity typeother
Related Parties
1- filerCIK 0001234953
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 5:47 PM ET
- Size
- 20.3 KB