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4//SEC Filing

NOODLES & Co 4

Accession 0001104659-17-023095

$NDLSCIK 0001275158operating
View on SEC.govCompany Profile

Filed

Apr 11, 8:00 PM ET

Accepted

Apr 12, 4:11 PM ET

Size

12.1 KB

Accession

0001104659-17-023095

Insider Transaction Report

Form 4
Period: 2017-04-12
NOODLES & CoNDLS
CP6 Management, L.L.C.
10% Owner
Transactions
  • Conversion

    Class A Common Stock

    2017-04-12+4,252,873→ 11,087,757 total
  • Conversion

    Series A Convertible Preferred Stock

    2017-04-12−18,500→ 0 total
    From: 2017-02-09→ Class A Common Stock (4,252,873 underlying)
Catterton-Noodles, LLC
10% Owner
Transactions
  • Conversion

    Series A Convertible Preferred Stock

    2017-04-12−18,500→ 0 total
    From: 2017-02-09→ Class A Common Stock (4,252,873 underlying)
  • Conversion

    Class A Common Stock

    2017-04-12+4,252,873→ 11,087,757 total
Dahnke Scott Arnold
Director10% Owner
Transactions
  • Conversion

    Class A Common Stock

    2017-04-12+4,252,873→ 11,087,757 total
  • Conversion

    Series A Convertible Preferred Stock

    2017-04-12−18,500→ 0 total
    From: 2017-02-09→ Class A Common Stock (4,252,873 underlying)
Chu James Michael
10% Owner
Transactions
  • Conversion

    Class A Common Stock

    2017-04-12+4,252,873→ 11,087,757 total
  • Conversion

    Series A Convertible Preferred Stock

    2017-04-12−18,500→ 0 total
    From: 2017-02-09→ Class A Common Stock (4,252,873 underlying)
Footnotes (4)
  • [F1]Pursuant to its rights under the Securities Purchase Agreement by and among the Company and Catterton-Noodles, LLC ("Catterton Noodles"), the Company issued a conversion notice causing all shares of Series A Convertible Preferred Stock ("Preferred Stock") held by Catterton Noodles to be automatically converted into shares of the Company's Class A Common Stock, effective April 12, 2017. Each share of Preferred Stock is convertible at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Preferred Stock.
  • [F2]The securities reported on this Form 4 are held of record by Catterton Noodles. CP6 Management, L.L.C. ("CP6") is the manager of Catterton Noodles. 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.
  • [F3]The shares of Preferred Stock have no expiration date.
  • [F4]Not applicable.

Documents

1 file

Issuer

NOODLES & Co

CIK 0001275158

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001275158

Filing Metadata

Form type
4
Filed
Apr 11, 8:00 PM ET
Accepted
Apr 12, 4:11 PM ET
Size
12.1 KB
View on SEC.gov