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Nasdaq · USD

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NOODLES & Co

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6874
SEC CIK
0001275158
Parsed reports
335

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 14, 2019 Filed May 16, 2019 20:59 UTC
Egan MaryDirector
GrantClass A Common Stock 6,731 $0.00 $0.00
Disclosure

SEC source: 0001275158-19-000037 · wf-form4_155804036734706.xml · nonDerivative · entry 1

Egan Mary · CIK 0001713652 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,691

F1 · shares: The Reporting Person is a director of the Issuer and receives a portion of their director fee in the form of RSU's. Pursuant to this arrangement, on an annual basis, RSU's with a value equal to the fees payable, calculated using the closing price on the day of the grant, are delivered to each eligibile director. The RSU's settle in common stock on the date of grant.

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May 04, 2019 Filed May 7, 2019 21:45 UTC
Boennighausen David JamesDirector · Chief Executive Officer
Tax withholdingClass A Common Stock 1,320 $7.38 $9,741.60
Disclosure

SEC source: 0001275158-19-000021 · wf-form4_155726551889029.xml · nonDerivative · entry 1

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,120

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on May 4, 2016. The shares surrendered were valued based on the closing price of the common stock of the Issuer on the date of surrender.

F2 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.

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May 04, 2019 Filed May 7, 2019 21:46 UTC
Lockhart Kathryn RaeVice President & Controller
Tax withholdingClass A Common Stock 251 $7.38 $1,852.38
Disclosure

SEC source: 0001275158-19-000022 · wf-form4_155726554709816.xml · nonDerivative · entry 1

Lockhart Kathryn Rae · CIK 0001579599 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,784

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on May 4, 2016. The shares surrendered were valued based on the closing price of the common stock of the Issuer on the date of surrender.

F2 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.

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March 12, 2019 Filed Mar 19, 2019 13:04 UTC
Hermann CharlesChief Brand Officer
Tax withholdingClass A Common Stock 2,536 $7.24 $18,360.64
Disclosure

SEC source: 0001275158-19-000012 · wf-form4_155300065510509.xml · nonDerivative · entry 1

Hermann Charles · CIK 0001732983 · Chief Brand Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,594

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on March 12th, 2018. The shares surrendered were valued based on the most recent closing price of the common stock of the Issuer on the date of surrender.

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November 29, 2018 Filed Nov 29, 2018 21:54 UTC
Dahnke Scott ArnoldDirector · 10% owner
SaleClass A Common Stock 1,858,387 $8.90 $16,539,644.30
Disclosure

SEC source: 0001275158-18-000135 · wf-form4_154352845763597.xml · nonDerivative · entry 1

Catterton-Noodles, LLC · CIK 0001580004 · 10% owner

CP6 Management, L.L.C. · CIK 0001555549 · 10% owner

Dahnke Scott Arnold · CIK 0001545446 · Director · 10% owner

Chu James Michael · CIK 0001544498 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,173,858

F1 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton-Noodles, LLC ("Catterton Noodles"). CP6 Management, L.L.C. ("CP^") is the manager of Catterton Noodles. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.

F2 · ownership.direct: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles, LLC: 10% Owner; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner and Director; Chu, James Michael: 10% Owner.

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November 28, 2018 Filed Nov 30, 2018 21:06 UTC
LYNCH THOMAS EDirector · 10% owner
SaleClass A Common Stock, $0.01 per share 1,858,387 $8.90 $16,539,644.30
Disclosure

SEC source: 0001209191-18-060363 · doc4.xml · nonDerivative · entry 1

Mill Road Capital II, L.P. · CIK 0001550729 · 10% owner

Mill Road Capital II GP LLC · CIK 0001550728 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · Director · 10% owner

Scharfman Scott · CIK 0001435257 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,804,037

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital II, L.P. (the "Fund"). Mill Road Capital II GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Each of Messrs. Lynch and Scharfman is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
November 28, 2018 Filed Nov 30, 2018 21:12 UTC SaleClass A Common Stock 1,858,387 $8.90 $16,539,644.30
Disclosure

SEC source: 0001140361-18-044264 · form4.xml · nonDerivative · entry 1

PUBLIC SECTOR PENSION INVESTMENT BOARD · CIK 0001396318 · 10% owner

Argentia Private Investments Inc. · CIK 0001579903 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 4,363,661

F1 · ownership.nature: Shares are owned directly by Argentia Private Investments Inc., which is a wholly owned subsidiary of Public Sector Pension Investment Board ("PSPIB"). PSPIB is an indirect beneficial owner of the reported securities.

F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

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November 12, 2018 Filed Nov 13, 2018 21:57 UTC
Kuick KennethChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 23,110 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001275158-18-000133 · wf-form4_154214626043090.xml · derivative · entry 2

KUICK KENNETH J. · CIK 0001714887 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,110

Underlying: Class A Common Stock · 23,110 shares

Expires 2028-11-12

F2 · derivative.exercise_date: These options vest 25% per year beginning one year after the transaction date.

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November 12, 2018 Filed Nov 13, 2018 21:57 UTC
Kuick KennethChief Financial Officer
GrantClass A Common Stock 19,629 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000133 · wf-form4_154214626043090.xml · nonDerivative · entry 1

KUICK KENNETH J. · CIK 0001714887 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,629

F1 · shares: Award of Restricted Stock Units ("RSU's") received on November 12th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSU's vest in four equal installments beginning on November 12th, 2019.

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October 16, 2018 Filed Oct 18, 2018 22:42 UTC
Lockhart Kathryn RaeVice President & Controller
SaleClass A Common Stock 950 $13.00 $12,350.00
Disclosure

SEC source: 0001275158-18-000115 · wf-form4_153990251107722.xml · nonDerivative · entry 1

Lockhart Kathryn Rae · CIK 0001579599 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,035

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended

Read SEC document
October 16, 2018 Filed Oct 18, 2018 22:41 UTC
Heidman MelissaEVP & General Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,924 $0.00 Strike: $8.67 $0.00
Disclosure

SEC source: 0001275158-18-000114 · wf-form4_153990247234158.xml · derivative · entry 3

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,924 shares

Expires 2021-09-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
October 16, 2018 Filed Oct 18, 2018 22:41 UTC
Heidman MelissaEVP & General Counsel
SaleClass A Common Stock 5,924 $13.00 $77,012.00
Disclosure

SEC source: 0001275158-18-000114 · wf-form4_153990247234158.xml · nonDerivative · entry 2

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,095

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended

Read SEC document
October 16, 2018 Filed Oct 18, 2018 22:41 UTC
Heidman MelissaEVP & General Counsel
Exercise / conversionClass A Common Stock 5,924 $8.67 $51,361.08
Disclosure

SEC source: 0001275158-18-000114 · wf-form4_153990247234158.xml · nonDerivative · entry 1

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,019

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 21, 2018 Filed Sep 24, 2018 21:06 UTC
Boennighausen David JamesDirector · Chief Executive Officer
Tax withholdingClass A Common Stock 725 $12.50 $9,062.50
Disclosure

SEC source: 0001275158-18-000105 · wf-form4_153782316300564.xml · nonDerivative · entry 1

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,440

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on September 21, 2017. The shares surrendered were valued based on the closing price of the common stock of the Issuer on the date of surrender.

F2 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.

Read SEC document
August 29, 2018 Filed Aug 31, 2018 20:23 UTC
Heidman MelissaEVP & General Counsel
SaleClass A Common Stock 4,315 $12.00 $51,780.00
Disclosure

SEC source: 0001275158-18-000103 · wf-form4_153574697408570.xml · nonDerivative · entry 1

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,740

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person on 7/26/18 pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended

Read SEC document
August 29, 2018 Filed Oct 15, 2018 23:04 UTC Amendment
Heidman MelissaEVP & General Counsel
SaleClass A Common Stock 3,763 $12.00 $45,156.00
Disclosure

SEC source: 0001275158-18-000111 · wf-form4a_153964464143457.xml · nonDerivative · entry 1

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,740

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person on 7/26/18 pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended

F2 · shares: Due to a clerical error by a third party stock administrator, the Reporting Person's Form 4 dated August 31st, 2018 incorrectly reported a disposition of 4,315 shares, rather than 3,763 shares as should have been initially reported.

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August 27, 2018 Filed Aug 29, 2018 21:39 UTC SaleClass A Common Stock 9,652 $11.51 $111,094.52
Disclosure

SEC source: 0001275158-18-000101 · wf-form4_153557872220927.xml · nonDerivative · entry 1

Hartnett Robert M. · CIK 0001680495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,606

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person on 7/26/18, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $11.50 to $11.55, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the range set forth in this disclosure.

Read SEC document
August 27, 2018 Filed Aug 29, 2018 21:38 UTC
Boennighausen David JamesDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $8.67 $0.00
Disclosure

SEC source: 0001275158-18-000100 · wf-form4_153557868359415.xml · derivative · entry 4

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,333

Underlying: Class A Common Stock · 40,000 shares

Expires 2020-12-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 27, 2018 Filed Aug 29, 2018 21:38 UTC
Boennighausen David JamesDirector · Chief Executive Officer
SaleClass A Common Stock 3,096 $11.52 $35,665.92
Disclosure

SEC source: 0001275158-18-000100 · wf-form4_153557868359415.xml · nonDerivative · entry 3

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,165

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person on 7/26/18, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $11.45 to $11.55, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the range set forth in this disclosure.

Read SEC document
August 27, 2018 Filed Aug 29, 2018 21:38 UTC
Boennighausen David JamesDirector · Chief Executive Officer
SaleClass A Common Stock 40,000 $11.52 $460,800.00
Disclosure

SEC source: 0001275158-18-000100 · wf-form4_153557868359415.xml · nonDerivative · entry 2

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,261

F1 · kind: These shares were sold in compliance with a trading plan adopted by the reporting person on 7/26/18, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $11.45 to $11.55, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the range set forth in this disclosure.

Read SEC document
August 27, 2018 Filed Aug 29, 2018 21:38 UTC
Boennighausen David JamesDirector · Chief Executive Officer
Exercise / conversionClass A Common Stock 40,000 $8.67 $346,800.00
Disclosure

SEC source: 0001275158-18-000100 · wf-form4_153557868359415.xml · nonDerivative · entry 1

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,261

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 02, 2018 Filed Aug 2, 2018 20:13 UTC
Dahnke Scott ArnoldDirector · 10% owner
SaleClass A Common Stock 526,541 $10.00 $5,265,410.00
Disclosure

SEC source: 0001275158-18-000095 · wf-form4_153324076924759.xml · nonDerivative · entry 1

Catterton-Noodles, LLC · CIK 0001580004 · 10% owner

CP6 Management, L.L.C. · CIK 0001555549 · 10% owner

Dahnke Scott Arnold · CIK 0001545446 · Director · 10% owner

Chu James Michael · CIK 0001544498 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,032,245

F1 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton-Noodles, LLC ("Catterton Noodles"). CP6 Management, L.L.C. ("CP^") is the manager of Catterton Noodles. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.

F2 · ownership.direct: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles, LLC: 10% Owner; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner and Director; Chu, James Michael: 10% Owner.

Read SEC document
August 01, 2018 Filed Aug 3, 2018 16:46 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $10.50 $0.00
Disclosure

SEC source: 0001275158-18-000097 · wf-form4_153332914966305.xml · derivative · entry 2

MURPHY PAUL J B III · CIK 0001274078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 shares

Expires 2028-08-01

F2 · derivative.exercise_date: These options vest 25% per year beginning one year after the transaction date.

Read SEC document
August 01, 2018 Filed Aug 3, 2018 16:46 UTC GrantRestricted Stock Units 175,000 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000097 · wf-form4_153332914966305.xml · nonDerivative · entry 1

MURPHY PAUL J B III · CIK 0001274078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,132

F1 · shares: These Restricted Stock Units vest on June 30, 2021.

Read SEC document
July 31, 2018 Filed Aug 2, 2018 20:07 UTC
LYNCH THOMAS EDirector · 10% owner
SaleClass A Common Stock, $0.01 per share 387,463 $9.50 $3,680,898.50
Disclosure

SEC source: 0001209191-18-044930 · doc4.xml · nonDerivative · entry 1

Mill Road Capital II, L.P. · CIK 0001550729 · 10% owner

Mill Road Capital II GP LLC · CIK 0001550728 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · Director · 10% owner

Scharfman Scott · CIK 0001435257 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,662,424

F1 · shares: Represents shares that Mill Road Capital II, L.P. (the "Fund") agreed to sell, subject to specified closing conditions, pursuant to an underwriting agreement, dated as of July 26, 2018, by and among the issuer, the Fund, the other selling stockholders named therein, and Jefferies LLC, Citigroup Global Markets Inc. and RBC Capital Markets, LLC, as representatives of the underwriters, in connection with a public offering of the issuer's Class A common stock.

F2 · ownership.direct: The shares reported are directly held by the Fund. Mill Road Capital II GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Each of Messrs. Lynch and Scharfman is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 31, 2018 Filed Aug 2, 2018 20:15 UTC SaleClass A Common Stock 360,996 $9.50 $3,429,462.00
Disclosure

SEC source: 0001140361-18-035132 · form4.xml · nonDerivative · entry 1

PUBLIC SECTOR PENSION INVESTMENT BOARD · CIK 0001396318 · 10% owner

Argentia Private Investments Inc. · CIK 0001579903 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,222,048

F1 · ownership.nature: Shares are owned directly by Argentia Private Investments Inc., which is a wholly owned subsidiary of Public Sector Pension Investment Board ("PSPIB"). PSPIB is an indirect beneficial owner of the reported securities.

F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 21:46 UTC
LYNCH THOMAS EDirector · 10% owner
SaleClass A Common Stock, $0.01 par value 1,823,353 $9.50 $17,321,853.50
Disclosure

SEC source: 0001209191-18-044450 · doc4.xml · nonDerivative · entry 1

Mill Road Capital II, L.P. · CIK 0001550729 · 10% owner

Mill Road Capital II GP LLC · CIK 0001550728 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · Director · 10% owner

Scharfman Scott · CIK 0001435257 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,049,887

F1 · shares: Represents shares that Mill Road Capital II, L.P. (the "Fund") agreed to sell, subject to specified closing conditions, pursuant to an underwriting agreement, dated as of July 26, 2018, by and among the issuer, the Fund, the other selling stockholders named therein, and Jefferies LLC, Citigroup Global Markets Inc. and RBC Capital Markets, LLC, as representatives of the underwriters, in connection with a public offering of the issuer's Class A common stock.

F2 · ownership.direct: The shares reported are directly held by the Fund. Mill Road Capital II GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Each of Messrs. Lynch and Scharfman is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

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July 26, 2018 Filed Jul 30, 2018 23:01 UTC SaleClass A Common Stock 1,698,805 $9.50 $16,138,647.50
Disclosure

SEC source: 0001140361-18-034280 · form4.xml · nonDerivative · entry 1

PUBLIC SECTOR PENSION INVESTMENT BOARD · CIK 0001396318 · 10% owner

Argentia Private Investments Inc. · CIK 0001579903 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,583,044

F1 · ownership.nature: Shares are owned directly by Argentia Private Investments Inc., which is a wholly owned subsidiary of Public Sector Pension Investment Board ("PSPIB"). PSPIB is an indirect beneficial owner of the reported securities.

F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

Read SEC document
July 26, 2018 Filed Jul 30, 2018 11:45 UTC
Dahnke Scott ArnoldDirector · 10% owner
SaleClass A Common Stock 2,477,842 $10.00 $24,778,420.00
Disclosure

SEC source: 0001275158-18-000090 · wf-form4_153295113261185.xml · nonDerivative · entry 1

Catterton-Noodles, LLC · CIK 0001580004 · 10% owner

CP6 Management, L.L.C. · CIK 0001555549 · 10% owner

Dahnke Scott Arnold · CIK 0001545446 · Director · 10% owner

Chu James Michael · CIK 0001544498 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,558,786

F1 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton-Noodles, LLC ("Catterton Noodles"). CP6 Management, L.L.C. ("CP^") is the manager of Catterton Noodles. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.

F2 · ownership.direct: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles, LLC: 10% Owner and CP 6 Management, L.L.C.: 10% Owner and Dahnke, Scott Arnold: 10% Owner, Director and Chu, James Michael: 10% Owner

Read SEC document
July 10, 2018 Filed Jul 12, 2018 17:47 UTC Tax withholdingClass A Common Stock 10,868 $11.90 $129,329.20
Disclosure

SEC source: 0001275158-18-000080 · wf-form4_153143202143552.xml · nonDerivative · entry 1

MURPHY PAUL J B III · CIK 0001274078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,132

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on July 10, 2017. The shares surrendered were valued based on the closing price of the common stock of the Issuer on the date of surrender.

F2 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.

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June 30, 2018 Filed Jul 3, 2018 18:44 UTC
WEST THOMAS BEVP - Operations
Tax withholdingClass A Common Stock 2,168 $12.30 $26,666.40
Disclosure

SEC source: 0001275158-18-000076 · wf-form4_153065784131807.xml · nonDerivative · entry 2

WEST THOMAS B · CIK 0001716280 · EVP - Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,916

F2 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on January 16th, 2018. The shares surrendered were valued based on the most recent closing price of the common stock of the Issuer on the date of surrender.

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June 30, 2018 Filed Jul 3, 2018 22:44 UTC
Heidman MelissaEVP & General Counsel
Tax withholdingClass A Common Stock 1,238 $12.30 $15,227.40
Disclosure

SEC source: 0001275158-18-000077 · wf-form4_153065787036722.xml · nonDerivative · entry 2

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,579

F2 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on January 16th, 2018. The shares surrendered were valued based on the most recent closing price of the common stock of the Issuer on the date of surrender.

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June 30, 2018 Filed Jul 3, 2018 22:45 UTC
Lockhart Kathryn RaeVice President & Controller
Tax withholdingClass A Common Stock 1,054 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000078 · wf-form4_153065789752559.xml · nonDerivative · entry 2

Lockhart Kathryn Rae · CIK 0001579599 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,877

F2 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on January 16th, 2018. The shares surrendered were valued based on the most recent closing price of the common stock of the Issuer on the date of surrender.

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June 30, 2018 Filed Jul 3, 2018 22:43 UTC
Boennighausen David JamesDirector · Chief Executive Officer
Tax withholdingClass A Common Stock 2,899 $12.30 $35,657.70
Disclosure

SEC source: 0001275158-18-000074 · wf-form4_153065778145223.xml · nonDerivative · entry 2

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,261

F2 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person on January 16, 2018. The shares surrendered were valued based on most recent the closing price of the common stock of the Issuer on the date of surrender.

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June 29, 2018 Filed Jul 3, 2018 18:44 UTC
WEST THOMAS BEVP - Operations
GrantRestricted Stock Units · Derivative 5,012 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000076 · wf-form4_153065784131807.xml · derivative · entry 4

WEST THOMAS B · CIK 0001716280 · EVP - Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,012

Underlying: Class A Common Stock · 5,012 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F4 · derivative.exercise_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F4 · derivative.expiration_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

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June 29, 2018 Filed Jul 3, 2018 18:44 UTC
WEST THOMAS BEVP - Operations
GrantStock Option (Right to Buy) · Derivative 9,612 $0.00 Strike: $12.30 $0.00
Disclosure

SEC source: 0001275158-18-000076 · wf-form4_153065784131807.xml · derivative · entry 3

WEST THOMAS B · CIK 0001716280 · EVP - Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,612

Underlying: Class A Common Stock · 9,612 shares

Expires 2028-06-29

F3 · derivative.exercise_date: These options vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 18:44 UTC
WEST THOMAS BEVP - Operations
GrantClass A Common Stock 5,420 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000076 · wf-form4_153065784131807.xml · nonDerivative · entry 1

WEST THOMAS B · CIK 0001716280 · EVP - Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,420

F1 · shares: Award of Restricted Stock Units ("RSUs") received on June 29th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSUs vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:44 UTC
Heidman MelissaEVP & General Counsel
GrantStock Option (Right to Buy) · Derivative 11,535 $0.00 Strike: $12.30 $0.00
Disclosure

SEC source: 0001275158-18-000077 · wf-form4_153065787036722.xml · derivative · entry 3

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,535

Underlying: Class A Common Stock · 11,535 shares

Expires 2028-06-29

F3 · derivative.exercise_date: These options vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:44 UTC
Heidman MelissaEVP & General Counsel
GrantClass A Common Stock 9,756 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000077 · wf-form4_153065787036722.xml · nonDerivative · entry 1

Heidman Melissa · CIK 0001743074 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,293

F1 · shares: Award of Restricted Stock Units ("RSUs") received on June 29th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSUs vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:45 UTC
Lockhart Kathryn RaeVice President & Controller
GrantStock Option (Right to Buy) · Derivative 2,595 $0.00 Strike: $12.30 $0.00
Disclosure

SEC source: 0001275158-18-000078 · wf-form4_153065789752559.xml · derivative · entry 3

Lockhart Kathryn Rae · CIK 0001579599 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,190

Underlying: Class A Common Stock · 2,595 shares

Expires 2028-06-29

F3 · derivative.exercise_date: These options vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:45 UTC
Lockhart Kathryn RaeVice President & Controller
GrantClass A Common Stock 5,853 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000078 · wf-form4_153065789752559.xml · nonDerivative · entry 1

Lockhart Kathryn Rae · CIK 0001579599 · Vice President & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,039

F1 · shares: Award of Restricted Stock Units ("RSUs") received on June 29th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSUs vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Hermann CharlesChief Brand Officer
GrantRestricted Stock Units · Derivative 7,518 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000075 · wf-form4_153065781223578.xml · derivative · entry 3

Hermann Charles · CIK 0001732983 · Chief Brand Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,518

Underlying: Class A Common Stock · 7,518 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F3 · derivative.exercise_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F3 · derivative.expiration_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

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June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Hermann CharlesChief Brand Officer
GrantStock Option (Right to Buy) · Derivative 14,419 $0.00 Strike: $12.30 $0.00
Disclosure

SEC source: 0001275158-18-000075 · wf-form4_153065781223578.xml · derivative · entry 2

Hermann Charles · CIK 0001732983 · Chief Brand Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,419

Underlying: Class A Common Stock · 14,419 shares

Expires 2028-06-29

F2 · derivative.exercise_date: These options vest in four equal annual installments beginning on June 29th, 2019.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Hermann CharlesChief Brand Officer
GrantClass A Common Stock 8,130 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000075 · wf-form4_153065781223578.xml · nonDerivative · entry 1

Hermann Charles · CIK 0001732983 · Chief Brand Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,130

F1 · shares: Award of Restricted Stock Units ("RSUs") received on June 29th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSUs vest in four equal annual installments beginning on June 29th, 2019.

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June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Boennighausen David JamesDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 13,157 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000074 · wf-form4_153065778145223.xml · derivative · entry 4

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,157

Underlying: Class A Common Stock · 13,157 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F4 · derivative.exercise_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

F4 · derivative.expiration_date: Each RSU represents a right to receive one share of Noodles & Company's Class A common stock. These restricted stock units are subject to performance-based vesting conditions linked to Noodles & Company's Same Store Sales and Adjusted EBITDA targets through December 31, 2020 (the "Performance Period").

Read SEC document
June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Boennighausen David JamesDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 25,233 $0.00 Strike: $12.30 $0.00
Disclosure

SEC source: 0001275158-18-000074 · wf-form4_153065778145223.xml · derivative · entry 3

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,233

Underlying: Class A Common Stock · 25,233 shares

Expires 2028-06-29

F3 · derivative.exercise_date: These options vest in four equal annual installments beginning on June 29th, 2019.

Read SEC document
June 29, 2018 Filed Jul 3, 2018 22:43 UTC
Boennighausen David JamesDirector · Chief Executive Officer
GrantClass A Common Stock 14,227 $0.00 $0.00
Disclosure

SEC source: 0001275158-18-000074 · wf-form4_153065778145223.xml · nonDerivative · entry 1

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,160

F1 · shares: Award of Restricted Stock Units ("RSUs") received on June 29th, 2018. Each RSU represents a right to receive one share of Noodles & Company Class A common stock. The RSUs vest in four equal annual installments beginning on June 29th, 2019.

Read SEC document
June 29, 2018 Filed Mar 16, 2020 16:28 UTC Amendment
WEST THOMAS BEVP - Operations
GrantClass A Common Stock 5,420 $0.00 $0.00
Disclosure

SEC source: 0001275158-20-000026 · wf-form4a_158439051167322.xml · nonDerivative · entry 1

WEST THOMAS B · CIK 0001716280 · EVP - Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,050

F1 · shares: Due to administrative error, the reporting person's restricted stock units were under-reported by 408 units. This Form 4 reflects the corrected total beneficial ownership for this reporting person.

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June 29, 2018 Filed Mar 16, 2020 20:28 UTC Amendment
Boennighausen David JamesDirector · Chief Executive Officer
GrantClass A Common Stock 14,228 $0.00 $0.00
Disclosure

SEC source: 0001275158-20-000025 · wf-form4a_158439048789703.xml · nonDerivative · entry 1

Boennighausen David James · CIK 0001579519 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,432

F1 · shares: Due to administrative error, the reporting person's restricted stock units were under-reported by 1,071 units. This Form 4 reflects the corrected total beneficial ownership for this reporting person.

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May 24, 2018 Filed May 29, 2018 20:15 UTC ConversionClass B Common Stock · Derivative 1,522,098 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-025989 · form4.xml · derivative · entry 2

PUBLIC SECTOR PENSION INVESTMENT BOARD · CIK 0001396318 · 10% owner

Argentia Private Investments Inc. · CIK 0001579903 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,522,098 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Class B Common Stock has no expiration date and is convertible at any time at the election of the holder on a share-for-share basis into Class A Common Stock.

F1 · price: Not applicable.

F4 · derivative.exercise_date: The Class B Common Stock has no expiration date and is convertible at any time at the election of the holder on a share-for-share basis into Class A Common Stock.

F4 · derivative.expiration_date: The Class B Common Stock has no expiration date and is convertible at any time at the election of the holder on a share-for-share basis into Class A Common Stock.

F2 · ownership.nature: Shares are owned directly by Argentia Private Investments Inc., which is a wholly owned subsidiary of Public Sector Pension Investment Board ("PSPIB"). PSPIB is an indirect beneficial owner of the reported securities.

F3 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.