UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 225,646 | $ 5.5 | I | By Hooters of Oregon Partners, L.L.C. (1) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 225,646 | $ 7 | I | By Hooters of Oregon Partners, L.L.C. (1) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 114,490 | $ 5.5 | I | By Hooters of Washington, L.L.C. (2) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 114,490 | $ 7 | I | By Hooters of Washington, L.L.C. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPITCAUFSKY LARRY 3186 VISTA WAY OCEANSIDE, CA 92056 |
X | Member 13(d) group owning >10% | ||
HOOTERS OF WASHINGTON, L.L.C. 3186 VISTA WAY OCEANSIDE, CA 92056 |
Member of 13(d) group>10% | |||
HOOTERS OF OREGON PARTNERS, L.L.C. 3186 VISTA WAY OCEANSIDE, CA 92056 |
X |
/s/ Larry Spitcaufsky | 02/10/2014 | |
**Signature of Reporting Person | Date | |
/s/ Larry Spitcaufsky, Hooters of Oregon Partners, L.L.C. | 02/10/2014 | |
**Signature of Reporting Person | Date | |
/s/ Larry Spitcaufsky, Hooters of Washington, L.L.C. | 02/10/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Larry Spitcaufsky is the manager of Hooters of Oregon Partners, L.L.C., which directly owns 451,292 shares of Common Stock and 451,292 Stock Purchase Warrants. As a result of being the manager of Hooters of Oregon Partners, L.L.C., Larry Spitcaufsky indirectly beneficially owns 451,292 shares of Common Stock and 451,292 Stock Purchase Warrants. |
(2) | Larry Spitcaufsky is the manager of Hooters of Washington, L.L.C., which directly owns 228,980 shares of Common Stock and 228,980 Stock Purchase Warrants. As a result of being the manager of Hooters of Washington, L.L.C., Larry Spitcaufsky indirectly beneficially owns 228,980 shares of Common Stock and 228,980 Stock Purchase Warrants. |