Filing Details

Accession Number:
0001017712-13-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-01-07 15:28:40
Reporting Period:
2013-01-03
Filing Date:
2013-01-07
Accepted Time:
2013-01-07 15:28:40
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
1248272 Gerald Cook 18305 E. San Jose Ave.
City Of Industry CA 91748
Chief Store Officer No 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 2013-01-03 9,375 $5.77 25,660 No 4 M Direct
Common Stock Disposition 2013-01-03 9,375 $10.23 16,285 No 4 S Direct
Common Stock Acquisiton 2013-01-03 40,950 $5.77 57,235 No 4 M Direct
Common Stock Disposition 2013-01-03 40,950 $10.45 16,285 No 4 S Direct
Common Stock Acquisiton 2013-01-03 37,500 $6.37 53,785 No 4 M Direct
Common Stock Disposition 2013-01-03 37,500 $10.52 16,285 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
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 2013-01-03 9,375 $0.00 9,375 $5.77
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-01-03 40,950 $0.00 40,950 $5.77
Common Stock Non-Qualified Stock Option (right to buy) Disposition 2013-01-03 37,500 $0.00 37,500 $6.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
181,575 2012-03-30 2021-03-30 No 4 M Direct
140,625 2012-03-30 2021-03-30 No 4 M Direct
31,250 2011-03-17 2020-03-17 No 4 M Direct
Footnotes
  1. The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 21, 2012.
  2. This transaction was executed in multiple trades at prices ranging from $10.00 to $10.25. 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 $10.25 to $10.64. 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 $10.50 to $10.67. 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. 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.