Filing Details
- Accession Number:
- 0000921895-18-000975
- Form Type:
- 5/A
- Zero Holdings:
- No
- Publication Time:
- 2018-03-14 16:01:04
- Reporting Period:
- 2017-12-31
- Accepted Time:
- 2018-03-14 16:01:04
- Original Submission Date:
- 2018-02-14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1399520 | One Group Hospitality Inc. | STKS | Retail-Eating Places (5812) | 141961545 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1681614 | Kanen Wealth Management Llc | 10141 Sweet Bay Court Parkland FL 33076 | No | No | Yes | Yes | |
| 1681743 | David Kanen | 5850 Coral Ridge Drive, Suite 309 Coral Springs FL 33076 | No | No | Yes | Yes | |
| 1688522 | Philotimo Fund, Lp | 5850 Coral Ridge Drive, Suite 309 Coral Springs FL 33076 | No | No | Yes | Yes |
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 | 2017-11-21 | 28,020 | $1.95 | 2,193,776 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-11-22 | 3,288 | $2.00 | 2,197,064 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-11-24 | 6,702 | $2.00 | 2,203,766 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-11-28 | 2,200 | $2.05 | 2,205,966 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-11-29 | 40,100 | $2.10 | 2,246,066 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-11-30 | 17,000 | $2.22 | 2,263,066 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-01 | 1,100 | $2.23 | 2,264,166 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-15 | 20,475 | $2.15 | 2,284,641 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-21 | 4,533 | $2.20 | 2,289,174 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-22 | 22,099 | $2.20 | 2,311,273 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-27 | 227,724 | $2.22 | 2,538,997 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-28 | 150,000 | $2.23 | 2,688,997 | No | 4 | P | Indirect | Kanen Wealth Management LLC |
| Common Stock | Acquisiton | 2017-12-29 | 35,000 | $2.39 | 1,845,000 | No | 4 | P | Indirect | The Philotimo Fund LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | Kanen Wealth Management LLC |
| No | 4 | P | Indirect | The Philotimo Fund LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2017-11-22 | 125,000 | $0.00 | 125,000 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 125,000 | 2018-05-15 | 2023-05-15 | No | 5 | J | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 18,921 | Direct |
Footnotes
- The Form 3 filed by Kanen Wealth Management LLC ("KWM"), Mr. Kanen and The Philotimo Fund LLC on November 20, 2017, indicates that KWM does not own any shares of the Issuer since KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM. To align the Section 16 filings with the Schedule 13D, as amended, filed by KWM and Mr. Kanen, Item 6 of Table 1 above has been revised to reflect KWM's beneficial ownership of the Company's Common Stock as reported in the Schedule 13D, excluding the shares owned by The Philotimo Fund LLC, which are reported separately in Item 6, of Table 1 above.
- Mr. Kanen beneficially owns 4,553,997 shares of Common Stock, which represent approximately 16.6% of the Company's outstanding shares of Common Stock. Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 2,688,997 shares of Common Stock held in customer accounts managed by KWM (including the 18,921 shares held in Mr. Kanen's account) and the 1,845,000 shares of Common Stock and the 125,000 warrants held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM other than the shares held in Mr. Kanen's account.
- The warrants were received in connection with a private purchase of shares of the Issuer.
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