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POTBELLY CORP — Director's Dealing 2013
Oct 3, 2013
32799_dirs_2013-10-03_324dfbd9-f862-480a-9de2-375b9099fded.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: POTBELLY CORP (PBPB)
CIK: 0001195734
Period of Report: 2013-10-03
Reporting Person: LEWIS AYLWIN B (Director, CEO and President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 164141 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series F Preferred Stock | $ | Common Stock (80000) | Direct | ||
| Series F Preferred Stock | $ | Common Stock (59895) | Direct | ||
| Stock Options (right to buy) | $8 | 2018-06-16 | Common Stock (780000) | Direct | |
| Stock Options (right to buy) | $7.22 | 2021-05-10 | Common Stock (286157) | Direct | |
| Stock Options (right to buy) | $10.59 | 2023-08-08 | Common Stock (227187) | Direct |
Footnotes
F1: The Series F Preferred Stock is convertible into Potbelly Corporation ("Potbelly") common stock on a 1-to-1 basis at the option of the holder and has no expiration date. The Series F Preferred Stock will automatically covert into common stock on a 1-to-1 basis upon the closing of Potbelly's initial public offering.
F2: All stock options have vested and are exercisable.
F3: The stock options will become vested in equal installments on August 8, 2014, August 8, 2015, August 8, 2016 and August 8, 2017 and vested options will be exercisable upon the closing of Potbelly's initial public offering.