NOODLES & Co 4
4 · NOODLES & Co · Filed Feb 9, 2017
Insider Transaction Report
Form 4
NOODLES & CoNDLS
Catterton-Noodles, LLC
10% Owner
Transactions
- Purchase
Warrants to Purchase Class A Common Stock
2017-02-09+1,913,792→ 1,913,792 total(indirect: By LLC)Exercise: $4.35From: 2017-08-09Exp: 2022-02-09→ Class A Common Stock (1,913,792 underlying) - Purchase
Series A Convertible Preferred Stock
2017-02-09$1000.00/sh+18,500$18,500,000→ 4,252,873 total(indirect: By LLC)From: 2017-02-09→ Class A Common Stock (4,252,873 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]The shares of Series A Convertible Preferred Stock have no expiration date.
- [F4]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.