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RAVE RESTAURANT GROUP, INC. — Director's Dealing 2016
Jun 27, 2016
34616_dirs_2016-06-27_bbf415e4-cc73-47a9-b6a5-24e5feae3c6b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAVE RESTAURANT GROUP, INC. (RAVE)
CIK: 0000718332
Period of Report: 2016-06-27
Reporting Person: SCHWARZ MARK E (Director, Chairman, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-06-27 | Director Stock Option (right to buy) | $3.95 | A | 40000 | Acquired | 2026-06-27 | Common Stock (40000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 100691 | Direct |
| Common Stock | 1729773 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Director Stock Option (right to buy) | $3.11 | 2022-06-25 | Common Stock (15000) | 15000 | Direct |
| Director Stock Option (right to buy) | $1.90 | 2019-06-29 | Common Stock (40000) | 40000 | Direct |
| Director Stock Option (right to buy) | $2.32 | 2018-07-02 | Common Stock (40000) | 40000 | Direct |
Footnotes
F1: Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.
F2: Represents director stock options.