COOK GERALD 4

4 · HOT TOPIC INC /CA/ · Filed Jan 7, 2013

Form 4

Period: 2013-01-03

Chief Operating Officer

Transactions

Exercise/Conversion
Common Stock
2013-01-03$5.77/sh+9,375$54,094→ 25,660 total
Sale
Common Stock
2013-01-03$10.45/sh−40,950$427,895→ 16,285 total
Exercise/Conversion
Common Stock
2013-01-03$6.37/sh+37,500$238,875→ 53,785 total
Sale
Common Stock
2013-01-03$10.52/sh−37,500$394,684→ 16,285 total
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2013-01-03−9,375→ 181,575 total
Exercise: $5.77From: 2012-03-30Exp: 2021-03-30→ Common Stock (9,375 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2013-01-03−40,950→ 140,625 total
Exercise: $5.77From: 2012-03-30Exp: 2021-03-30→ Common Stock (40,950 underlying)
Exercise/Conversion
Non-Qualified Stock Option (right to buy)
2013-01-03−37,500→ 31,250 total
Exercise: $6.37From: 2011-03-17Exp: 2020-03-17→ Common Stock (37,500 underlying)
Sale
Common Stock
2013-01-03$10.23/sh−9,375$95,878→ 16,285 total
Exercise/Conversion
Common Stock
2013-01-03$5.77/sh+40,950$236,281→ 57,235 total

Footnotes (5)

[F1]The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 21, 2012.
[F2]This transaction was executed in multiple trades at prices ranging from $10.00 to $10.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
[F3]This transaction was executed in multiple trades at prices ranging from $10.25 to $10.64. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
[F4]This transaction was executed in multiple trades at prices ranging from $10.50 to $10.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
[F5]25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vest quarterly thereafter.

Documents

1 file