Filing Details

Accession Number:
0001017712-12-000050
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-06 18:53:06
Reporting Period:
2012-12-04
Filing Date:
2012-12-06
Accepted Time:
2012-12-06 18:53:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1017712 Hot Topic Inc HOTT Retail-Apparel & Accessory Stores (5600) 770198182
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1249763 Andy Schuon 18305 E. San Jose Ave.
City Of Industry CA 91748
Yes No 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 2012-12-04 11,495 $6.02 53,487 No 4 M Direct
Common Stock Disposition 2012-12-04 11,495 $9.82 41,992 No 4 S Direct
Common Stock Acquisiton 2012-12-04 1,407 $6.02 43,399 No 4 M Direct
Common Stock Disposition 2012-12-04 1,407 $9.83 41,992 No 4 S Direct
Common Stock Acquisiton 2012-12-04 13,099 $7.54 55,091 No 4 M Direct
Common Stock Disposition 2012-12-04 13,099 $9.87 41,992 No 4 S Direct
Common Stock Acquisiton 2012-12-04 17,813 $4.88 59,805 No 4 M Direct
Common Stock Disposition 2012-12-04 17,813 $9.82 41,992 No 4 S Direct
Common Stock Acquisiton 2012-12-04 7,085 $7.09 49,077 No 4 M Direct
Common Stock Disposition 2012-12-04 7,085 $9.77 41,992 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-12-04 17,813 $0.00 17,813 $4.88
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-12-04 11,495 $0.00 11,495 $6.02
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-12-04 1,407 $0.00 1,407 $6.02
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-12-04 7,085 $0.00 7,085 $7.09
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2012-12-04 13,099 $0.00 13,099 $7.54
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,856 2011-06-08 2020-06-08 No 4 M Direct
1,407 2009-06-10 2018-06-10 No 4 M Direct
0 2009-06-10 2018-06-10 No 4 M Direct
15,587 2012-06-07 2021-06-07 No 4 M Direct
3,023 2010-06-09 2019-06-09 No 4 M Direct
Footnotes
  1. This transaction was executed in multiple trades at prices ranging from $9.80 to $9.84. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  2. This transaction was executed in multiple trades at prices ranging from $9.73 to $9.91. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  3. This transaction was executed in multiple trades at prices ranging from $9.80 to $9.915. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  4. This transaction was executed in multiple trades at prices ranging from $9.70 to $9.915. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  5. This transaction was executed in multiple trades at prices ranging from $9.70 to $9.89. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  6. 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vest quarterly thereafter.
  7. 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vested quarterly thereafter. The stock option is fully vested and exercisable.