Filing Details

Accession Number:
0001181580-17-000028
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-09-27 17:13:34
Reporting Period:
2017-09-14
Accepted Time:
2017-09-27 17:13:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
718332 Rave Restaurant Group Inc. RAVE Wholesale-Groceries & Related Products (5140) 453189287
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
932334 P L Partners Newcastle 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1208889 E Mark Schwarz 200 Crescent Court
Suite 1400
Dallas TX 75201
Chairman Yes Yes Yes No
1251293 Newcastle Capital Group Llc 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1251296 Newcastle Capital Management Lp 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1586760 Trust Family 2012 Schwarz 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1586784 Ncm Services, Inc. 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes 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 2017-09-14 1,788,220 $1.40 3,517,993 No 4 X Indirect Directly owned by Newcastle Partners L.P.
Common Stock Disposition 2017-09-25 500,000 $1.40 3,017,993 No 4 S Indirect Directly owned by Newcastle Partners L.P.
Common Stock Disposition 2017-09-27 178,540 $1.40 2,839,453 No 4 S Indirect Directly owned by Newcastle Partners L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Indirect Directly owned by Newcastle Partners L.P.
No 4 S Indirect Directly owned by Newcastle Partners L.P.
No 4 S Indirect Directly owned by Newcastle Partners L.P.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 100,691 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock 4% Convertible Senior Notes due 2022, Par $100 $2.00 2017-05-15 2022-02-15 542,500 0 Indirect
Common Stock 4% Convertible Senior Notes due 2022, Par $100 $2.00 2017-05-15 2022-02-15 13,900 0 Direct
Common Stock Director Stock Option (right to buy) $3.95 2017-06-27 2026-06-27 40,000 40,000 Direct
Common Stock Director Stock Option (right to buy) $3.11 2013-06-25 2022-06-25 15,000 15,000 Direct
Common Stock Director Stock Option (right to buy) $1.90 2010-06-29 2019-06-29 40,000 40,000 Direct
Common Stock Director Stock Option (right to buy) $2.32 2009-07-02 2018-07-02 40,000 40,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-15 542,500 0 Indirect
2022-02-15 13,900 0 Direct
2026-06-27 40,000 40,000 Direct
2022-06-25 15,000 15,000 Direct
2019-06-29 40,000 40,000 Direct
2018-07-02 40,000 40,000 Direct
Footnotes
  1. Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP.