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NOODLES & Co — Director's Dealing 2020
Aug 21, 2020
34809_dirs_2020-08-21_c168efe8-054c-4b94-83cc-7a0b47c7f968.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: NOODLES & Co (NDLS)
CIK: 0001275158
Period of Report: 2020-08-17
Reporting Person: Catterton-Noodles Holdings, LLC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 4606337 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants to Purchase Class A Common Stock | $4.35 | 2022-02-09 | Class A Common Stock (1913793.0) | Indirect |
Footnotes
F1: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock.
F2: Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock held by Catterton Noodles. Catterton Noodles Holdings may be deemed to beneficially own such warrants.