4//SEC Filing
POTBELLY CORP 4
Accession 0001181431-13-053642
$PBPBCIK 0001195734operating
Filed
Oct 10, 8:00 PM ET
Accepted
Oct 11, 3:26 PM ET
Size
25.7 KB
Accession
0001181431-13-053642
Insider Transaction Report
Form 4
POTBELLY CORPPBPB
GALLAGHER GERALD R
Director10% Owner
Transactions
- Conversion
Series B Preferred Stock
2013-10-09−1,000,000→ 0 total(indirect: See footnote)Exercise: $0.00From: 2002-09-18→ Common Stock (1,000,000 underlying) - Conversion
Series F Preferred Stock
2013-10-09−100,000→ 0 total(indirect: See footnote)Exercise: $0.00From: 2009-01-27→ Common Stock (100,000 underlying) - Conversion
Common Stock
2013-10-09+187,482→ 1,776,893 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2013-10-09−401,481→ 0 total(indirect: See footnote)Exercise: $0.00From: 2003-10-08→ Common Stock (404,941 underlying) - Conversion
Series D Preferred Stock
2013-10-09−182,595→ 0 total(indirect: See footnote)Exercise: $0.00From: 2005-03-23→ Common Stock (187,482 underlying) - Conversion
Series E Preferred Stock
2013-10-09−369,575→ 0 total(indirect: See footnote)Exercise: $0.00From: 2006-02-13→ Common Stock (382,443 underlying) - Conversion
Common Stock
2013-10-09+1,000,000→ 1,184,470 total(indirect: See footnote) - Conversion
Common Stock
2013-10-09+404,941→ 1,589,411 total(indirect: See Footnote) - Conversion
Common Stock
2013-10-09+358,152→ 2,517,488 total(indirect: See Footnote) - Conversion
Series F Preferred Stock
2013-10-09−258,152→ 0 total(indirect: See footnote)Exercise: $0.00From: 2008-12-24→ Common Stock (258,152 underlying) - Conversion
Common Stock
2013-10-09+382,443→ 2,159,336 total(indirect: See Footnote)
Footnotes (6)
- [F1]The Series B Preferred Stock automatically converted into Potbelly Corporation ("Potbelly") common stock on a 1-to-1 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.
- [F2]Includes shares held by Oak Investment Partners IX, Limited Partnership ("Oak Investment"), Oak IX Affiliates Fund, Limited Partnership ("Oak IX Fund") and Oak IX Affiliates Fund-A, Limited Partnership ("Oak IX Fund-A"). Oak Associates IX, L.L.C. is the general partner of Oak Investment and Oak IX Affiliates, L.L.C. is the general partner of each of Oak IX Fund and Oak IX Fund-A. Mr. Gallagher is a managing member of Oak Associates IX, L.L.C. and Oak IX Affiliates, L.L.C. Accordingly, Mr. Gallagher may be deemed to share power to vote and dispose of shares owned directly by such entities. Mr. Gallagher disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F3]The Series C Preferred Stock automatically converted into Potbelly common stock on a 1-to-1.0086 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.
- [F4]The Series D Preferred Stock automatically converted into Potbelly common stock on a 1-to-1.0268 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.
- [F5]The Series E Preferred Stock automatically converted into Potbelly common stock on a 1-to-1.0348 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.
- [F6]The Series F Preferred Stock automatically converted into Potbelly common stock on a 1-to-1 basis upon the closing of Potbelly's initial public offering and did not have an expiration date.
Documents
Issuer
POTBELLY CORP
CIK 0001195734
Entity typeoperating
Related Parties
1- filerCIK 0001195734
Filing Metadata
- Form type
- 4
- Filed
- Oct 10, 8:00 PM ET
- Accepted
- Oct 11, 3:26 PM ET
- Size
- 25.7 KB