NOODLES & Co 4
4 · NOODLES & Co · Filed Apr 12, 2017
Insider Transaction Report
Form 4
NOODLES & CoNDLS
Catterton-Noodles, LLC
10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2017-04-12−18,500→ 0 totalFrom: 2017-02-09→ Class A Common Stock (4,252,873 underlying) - Conversion
Class A Common Stock
2017-04-12+4,252,873→ 11,087,757 total
Footnotes (4)
- [F1]Pursuant to its rights under the Securities Purchase Agreement by and among the Company and Catterton-Noodles, LLC ("Catterton Noodles"), the Company issued a conversion notice causing all shares of Series A Convertible Preferred Stock ("Preferred Stock") held by Catterton Noodles to be automatically converted into shares of the Company's Class A Common Stock, effective April 12, 2017. Each share of Preferred Stock is convertible at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Preferred Stock.
- [F2]The securities reported on this Form 4 are held of record by Catterton Noodles. CP6 Management, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.
- [F3]The shares of Preferred Stock have no expiration date.
- [F4]Not applicable.