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POTBELLY CORP — Director's Dealing 2018
May 17, 2018
32799_dirs_2018-05-16_f8e60832-ae1f-459e-8410-03246224e16f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: POTBELLY CORP (PBPB)
CIK: 0001195734
Period of Report: 2018-05-14
Reporting Person: Johnson Alan L (President and CEO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-14 | Non-Qualified Stock Option (right to buy) | $12.8 | D | 200401 | Disposed | 2027-11-29 | Common Stock (200401) | Direct |
| 2018-05-14 | Non-Qualified Stock Option (right to buy) | $14.08 | A | 200401 | Acquired | 2027-11-29 | Common Stock (200401) | Direct |
Footnotes
F1: The stock options will vest in equal installments on November 29, 2018; November 29, 2019; November 29, 2020; and November 29, 2021.
F2: In a Form 4 filed on December 1, 2017, the reporting person reported that on November 29, 2017 he was granted an employee stock option covering 200,401 shares of common stock and having an exercise price of $12.80 a share (the closing market price of the stock on November 29, 2017). The reporting person and the issuer have agreed to amend the options to provide that the options will have an exercise price of $14.08 a share. The amendment is reported in this Form 4 as a cancellation of the original option and the grant of a replacement option.