EINSTEIN NOAH RESTAURANT GROUP INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-05: Reporting owner Gowdy Robert; Form 4; Security Stock Appreciation Rights (SARs); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-11-05: Reporting owner PARISH RHONDA J; Form 4; Security Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-09-12: Reporting owner Gowdy Robert; Form 4; Security Stock Appreciation Rights (SARs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-05-06: Reporting owner Gowdy Robert; Form 3; Security Stock Appreciation Rights (SARs); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-11-05 | Gowdy Robert Officer (Chief Accounting Officer) | 4 | Stock Appreciation Rights (SARs) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,300 0 owned after | $12.22 exercise price | 2014-11-06 | |
| 2014-11-05 | PARISH RHONDA J Officer (Chief Legal Officer, Secretary) | 4 | Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,100 0 owned after | $14.52 exercise price | 2014-11-06 | |
| 2014-09-12 | Gowdy Robert Officer (Chief Accounting Officer) | 4 | Stock Appreciation Rights (SARs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,950 0 owned after | $9.98 exercise price | 2014-09-15 | |
| 2014-05-06 holding as of filing | Gowdy Robert Officer (Chief Accounting Officer) | 3 | Stock Appreciation Rights (SARs) Derivative · Direct | Holding | $9.98 exercise price | 2014-05-06 | ||
| 2014-05-06 holding as of filing | Gowdy Robert Officer (Chief Accounting Officer) | 3 | Stock Appreciation Rights (SARs) Derivative · Direct | Holding | $12.22 exercise price | 2014-05-06 |