Dunham Donald A Jr 4

4 · GRANITE CITY FOOD & BREWERY LTD · Filed Oct 6, 2009

Form 4

Period: 2009-10-05

Director10% Owner

Transactions

Award
Common Stock
2009-10-05$0.54/sh+28,000,000$15,050,000→ 28,000,000 total(indirect: See footnote)

Holdings

Warrant to Purchase Common Stock
Exercise: $0.26Exp: 2014-02-07→ Common Stock (106,483 underlying)
106,483
Warrant to Purchase Common Stock
(indirect: See footnote)
Exercise: $0.26Exp: 2014-02-07→ Common Stock (213,747 underlying)
213,747
Warrant to Purchase Common Stock
(indirect: See footnote)
Exercise: $0.27Exp: 2014-02-10→ Common Stock (1,066.16 underlying)
1,066.16
Common Stock
268,103
Warrant to Purchase Common Stock
(indirect: See footnote)
Exercise: $0.27Exp: 2014-02-10→ Common Stock (4,146.19 underlying)
4,146.19
Warrant to Purchase Common Stock
(indirect: See footnote)
Exercise: $0.26Exp: 2014-02-07→ Common Stock (58,861 underlying)
58,861

Footnotes (4)

[F1]Held by DHW Leasing, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entitiy based on his beneifical ownership and management thereof.
[F2]The warrant is exercisable only upon satisfaction of covenants under that certain rent reduction agreement referenced in the warrant.
[F3]Held by Dunham Capital Management, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entitiy based on his beneifical ownership and management thereof.
[F4]Held by Dunham Equity Management, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entitiy based on his beneifical ownership and management thereof.

Documents

1 file