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Home/Filings/4/0001104659-17-007860
4//SEC Filing

NOODLES & Co 4

Accession 0001104659-17-007860

$NDLSCIK 0001275158operating
View on SEC.govCompany Profile

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 5:01 PM ET

Size

13.0 KB

Accession

0001104659-17-007860

Insider Transaction Report

Form 4
Period: 2017-02-09
NOODLES & CoNDLS
Dahnke Scott Arnold
Director10% 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)
Chu James Michael
10% Owner
Transactions
  • 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)
  • 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)
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)
CP6 Management, L.L.C.
10% Owner
Transactions
  • 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)
  • 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)
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.

Documents

1 file

Issuer

NOODLES & Co

CIK 0001275158

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001275158

Filing Metadata

Form type
4
Filed
Feb 8, 7:00 PM ET
Accepted
Feb 9, 5:01 PM ET
Size
13.0 KB
View on SEC.gov