Catterton-Noodles Holdings, LLC 4
4 · NOODLES & Co · Filed Aug 28, 2020
Insider Transaction Report
Form 4
NOODLES & CoNDLS
Catterton-Noodles Holdings, LLC
10% Owner
Transactions
- Sale
Class A Common Stock
2020-08-27$7.85/sh−1,435,000$11,264,750→ 2,787,476 total
Holdings
- 1,913,793(indirect: Multiple Owners)
Warrants to Purchase Class A Common Stock
Exercise: $4.35From: 2017-08-09Exp: 2022-02-09→ Class A Common Stock (1,913,793 underlying)
Footnotes (2)
- [F1]On August 27, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,435,000 shares of Class A Common Stock, at a price of $7.85 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 2,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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.
- [F2]Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner.