Filing Details

Accession Number:
0001209191-14-069046
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-17 10:43:41
Reporting Period:
2014-11-12
Filing Date:
2014-11-17
Accepted Time:
2014-11-17 10:43:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1265572 Kona Grill Inc KONA Retail-Eating Places (5812) 200216690
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1466591 R James Jundt 33717 North Scottsdale Road
Suite 120
Scottsdale AZ 85266
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 2014-11-12 10,000 $3.70 706,611 No 4 M Direct
Common Stock Acquisiton 2014-11-12 1,875 $5.15 708,486 No 4 M Direct
Common Stock Acquisiton 2014-11-12 15,000 $5.37 723,486 No 4 M Direct
Common Stock Acquisiton 2014-11-12 8,125 $8.71 731,611 No 4 M Direct
Common Stock Disposition 2014-11-13 2,646 $22.88 728,965 No 4 S Direct
Common Stock Disposition 2014-11-14 5,356 $22.77 723,609 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
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 Director Stock Option (Right to Buy) Disposition 2014-11-12 10,000 $3.70 10,000 $3.70
Common Stock Director Stock Option (Right to Buy) Disposition 2014-11-12 1,875 $5.15 1,875 $5.15
Common Stock Director Stock Option (Right to Buy) Disposition 2014-11-12 15,000 $5.37 15,000 $5.37
Common Stock Director Stock Option (Right to Buy) Disposition 2014-11-12 8,125 $8.71 8,125 $8.71
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-11-15 No 4 M Direct
0 2016-02-24 No 4 M Direct
0 2017-02-27 No 4 M Direct
0 2018-02-06 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,280 Indirect By Spouse
Common Stock 7,355 Indirect Held in IRA for benefit of the Reporting Person's Spouse
Footnotes
  1. Price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.71 to $23.02, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range specified above.
  2. Price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.59 to $23.00, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range specified above.
  3. All options were exercisable at the transaction date