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Mill Road Capital II, L.P. 4

Accession 0001209191-21-009844

CIK 0001275158other

View on SEC.gov Company Profile

Filed

Feb 10, 7:00 PM ET

Accepted

Feb 11, 6:33 PM ET

Size

15.8 KB

Accession

0001209191-21-009844

Insider Transaction Report

Form 4

Period: 2021-02-09

NOODLES & CoNDLS

Mill Road Capital II, L.P.

10% Owner

Transactions

Sale
Call Options (obligation to sell)
2021-02-10$76.36/sh−6,441$491,835→ 6,441 total
Exercise: $12.50From: 2021-02-10Exp: 2021-08-20→ Class A Common Stock (644,100 underlying)
Sale
Call Options (obligation to sell)
2021-02-11$80.02/sh−2,025$162,041→ 2,025 total
Exercise: $12.50From: 2021-02-11Exp: 2021-08-20→ Class A Common Stock (202,500 underlying)
Sale
Call Options (obligation to sell)
2021-02-09$75.00/sh−214$16,050→ 214 total
Exercise: $12.50From: 2021-02-09Exp: 2021-08-20→ Class A Common Stock (21,400 underlying)

Holdings

Class A Common Stock, $0.01 par value
4,804,037
Class A Common Stock, $0.01 par value
(indirect: See footnote)
22,386

Mill Road Capital II GP LLC

10% Owner

Transactions

Sale
Call Options (obligation to sell)
2021-02-10$76.36/sh−6,441$491,835→ 6,441 total
Exercise: $12.50From: 2021-02-10Exp: 2021-08-20→ Class A Common Stock (644,100 underlying)
Sale
Call Options (obligation to sell)
2021-02-11$80.02/sh−2,025$162,041→ 2,025 total
Exercise: $12.50From: 2021-02-11Exp: 2021-08-20→ Class A Common Stock (202,500 underlying)
Sale
Call Options (obligation to sell)
2021-02-09$75.00/sh−214$16,050→ 214 total
Exercise: $12.50From: 2021-02-09Exp: 2021-08-20→ Class A Common Stock (21,400 underlying)

Holdings

Class A Common Stock, $0.01 par value
(indirect: See footnote)
22,386
Class A Common Stock, $0.01 par value
4,804,037

Director10% Owner

Transactions

Sale
Call Options (obligation to sell)
2021-02-09$75.00/sh−214$16,050→ 214 total
Exercise: $12.50From: 2021-02-09Exp: 2021-08-20→ Class A Common Stock (21,400 underlying)
Sale
Call Options (obligation to sell)
2021-02-10$76.36/sh−6,441$491,835→ 6,441 total
Exercise: $12.50From: 2021-02-10Exp: 2021-08-20→ Class A Common Stock (644,100 underlying)
Sale
Call Options (obligation to sell)
2021-02-11$80.02/sh−2,025$162,041→ 2,025 total
Exercise: $12.50From: 2021-02-11Exp: 2021-08-20→ Class A Common Stock (202,500 underlying)

Holdings

Class A Common Stock, $0.01 par value
4,804,037
Class A Common Stock, $0.01 par value
(indirect: See footnote)
22,386

Footnotes (2)

[F1]The shares reported are directly held by Mill Road Capital II, L.P. (the "Fund"). Mill Road Capital II GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.
[F2]Represents restricted stock units (or shares issued upon the vesting thereof) granted by the issuer as director compensation, in which the Reporting Persons may have an indirect pecuniary interest. Mill Road Capital Management, LLC, an affiliate of the Reporting Persons that does not have Section 13(d) beneficial ownership of any securities of the issuer, has the right to receive the economic benefit of the reported shares pursuant to a contractual obligation with the holder of such shares. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

NOODLES & Co

CIK 0001275158

Entity typeother

IncorporatedDE

Related Parties

1

filerCIK 0001550729

Filing Metadata

Form type: 4
Filed: Feb 10, 7:00 PM ET
Accepted: Feb 11, 6:33 PM ET
Size: 15.8 KB

View on SEC.gov