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4//SEC Filing

Dunham Donald A Jr 4

Accession 0001181431-11-028567

CIK 0001048620other
View on SEC.govCompany Profile

Filed

May 9, 8:00 PM ET

Accepted

May 10, 4:48 PM ET

Size

16.3 KB

Accession

0001181431-11-028567

Insider Transaction Report

Form 4
Period: 2011-05-10
GRANITE CITY FOOD & BREWERY LTDGCFB
Dunham Donald A Jr
Director10% Owner
Transactions
  • Disposition to Issuer

    Common Stock

    2011-05-10$2.35/sh−3,000,000$7,050,000→ 1,666,666 total(indirect: See footnote)
  • Award

    Stock Option (right to buy)

    2011-05-10+5,000→ 5,000 total
    Exercise: $3.35From: 2011-05-10Exp: 2016-05-10→ Common Stock (5,000 underlying)
Holdings

  • Stock Option (right to buy)

    Exercise: $1.82From: 2011-10-05Exp: 2020-10-05→ Common Stock (5,000 underlying)
    5,000

  • Warrant to Purchase Common Stock

    (indirect: See footnote)
    Exercise: $1.58From: 2010-06-30Exp: 2014-02-07→ Common Stock (9,817 underlying)
    9,817

  • Warrant to Purchase Common Stock

    Exercise: $1.58From: 2010-06-30Exp: 2014-02-07→ Common Stock (17,760 underlying)
    17,760

  • Warrant to Purchase Common Stock

    (indirect: See footnote)
    Exercise: $1.58From: 2010-06-30Exp: 2014-02-07→ Common Stock (35,651 underlying)
    35,651

  • Common Stock

    45,944

  • Warrant to Purchase Common Stock

    (indirect: See footnote)
    Exercise: $1.59From: 2010-06-30Exp: 2014-02-10→ Common Stock (692 underlying)
    692

  • Warrant to Purchase Common Stock

    (indirect: See footnote)
    Exercise: $3.00From: 2010-06-30Exp: 2014-08-25→ Common Stock (177 underlying)
    177
Footnotes (6)
  • [F1]Held by DHW Leasing, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entity based on his beneficial ownership and management thereof.
  • [F2]This option was granted under the Company's Amended and Restated Equity Incentive Plan, which meets the requirements of Rule 16b-3.
  • [F3]This option became fully vested upon Mr. Dunham's resignation as of May 10, 2011.
  • [F4]This option is exercisable for a term of 5 years following Mr. Dunham's resignation.
  • [F5]Held by Dunham Capital Management, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entity based on his beneficial ownership and management thereof.
  • [F6]Held by Dunham Equity Management, L.L.C. Mr. Dunham may be deemed to have indirect beneficial ownership over the shares held by such entity based on his beneficial ownership and management thereof.

Documents

1 file

Issuer

GRANITE CITY FOOD & BREWERY LTD

CIK 0001048620

→
Entity typeother

Related Parties

1
  • filerCIK 0001462204

Filing Metadata

Form type
4
Filed
May 9, 8:00 PM ET
Accepted
May 10, 4:48 PM ET
Size
16.3 KB
View on SEC.gov