Filing Details
- Accession Number:
- 0001209191-14-042509
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-06-19 14:04:03
- Reporting Period:
- 2014-06-16
- Filing Date:
- 2014-06-19
- Accepted Time:
- 2014-06-19 14:04:03
- Original Submission Date:
- 2014-06-18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1100270 | Krispy Kreme Doughnuts Inc | KKD | Retail-Food Stores (5400) | 562169715 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1044379 | H James Morgan | 370 Knollwood Street Suite 500 Winston-Salem NC 27103 | Executive Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-06-16 | 150,000 | $1.40 | 249,811 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-06-16 | 43,886 | $16.01 | 205,925 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-06-17 | 106,114 | $16.08 | 99,811 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-06-16 | 150,000 | $0.00 | 150,000 | $1.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-01-29 | No | 4 | M | Direct |
Footnotes
- The amounts reported in column 5 are updated to accurately reflect previously reported restricted stock units ("RSUs") granted to Mr. Morgan on January 27, 2013 and January 30, 2014. Although all of these RSUs were timely reported on Form 4, the corresponding column 5 amounts did not accurately reflect the RSUs beneficially owned by Mr. Morgan.
- The sale of the shares reported in Column 4 was made as part of the Reporting Person's personal investment and financial planning needs,including for individual asset diversification, retirement planning and estate planning purposes. Of the 150,000 shares sold, approximately 78,458shares were sold to cover the strike price of stock options exercised and the estimated taxes resulting from the exercise. The Reporting Personholds vested and unvested shares and options to purchase shares as indicated in this filing and the Reporting Person's other filings under Section16 of the Securities Exchange Act of 1934, as amended. This transaction results in the Reporting Person retaining approximately 88% of hispotential equity stake in the Issuer.
- The Prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $16.00 to$16.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities andExchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth inthis footnote.
- The options vested in four equal annual installments beginning onJanuary 29, 2010.
Billionaire Hedge Funds
