Filing Details

Accession Number:
0001209191-11-045623
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-25 17:29:27
Reporting Period:
2011-08-24
Filing Date:
2011-08-25
Accepted Time:
2011-08-25 17:29:27
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
1335723 J Richard Hauser 50 S. 6Th Street, Suite 1480
Minneapolis MN 55402
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 2011-08-24 5,000 $2.10 85,395 No 4 M Direct
Common Stock Acquisiton 2011-08-24 5,000 $3.39 90,395 No 4 M Direct
Common Stock Disposition 2011-08-24 5,000 $5.71 85,395 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 Director Stock Option (Right to Buy) Disposition 2011-08-24 5,000 $2.10 5,000 $2.10
Common Stock Director Stock Option (Right to Buy) Disposition 2011-08-24 5,000 $3.39 5,000 $3.39
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-04-30 No 4 M Direct
0 2015-01-28 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 383,407 Indirect By Spouse
Common Stock 200,000 Indirect By Kona MN, LLC
Common Stock 11,500 Indirect By Trust
Footnotes
  1. Exercise of options and same day sale of underlying common stock
  2. Price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.67 to $5.81, 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. The reported securities are held by Kona MN, LLC, of which the reporting person and the reporting person's spouse are control persons.
  4. Shares held by the Children's Educational Trust, for the benefit of the reporting person's children.
  5. All options were exercisable at the transaction date