organization · Reporting owner
Catterton-Noodles, LLC
Disclosed activity across 1 company
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Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
NOODLES & Co
Report date December 01, 2020 · Filed December 03, 2020
Jointly reported with Catterton-Noodles Holdings, LLC, CP6 Management, L.L.C., Dahnke Scott Arnold, Chu James Michael
Section 16 reporting ended · disclosed 2020-12-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 1,787,476 |
Reported balance
After 2020-12-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-01 · Sale · Disposed 1,000,000 · Balance 1,787,476 F1: On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. |
| Warrants to Purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.35 · Expires 2022-02-09 | IndirectMultiple Owners | 1,913,793 |
Reported balance
Holding disclosure · report date 2020-12-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 1,913,793 F1: On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 01, 2020 Filed Dec 3, 2020 21:11 UTC | NOODLES & Co NDLS · Entity 6874 | SaleClass A Common Stock | 1,000,000 | $7.50 | $7,500,000.00 |
DisclosureSEC source: 0001275158-20-000132 · wf-form4_160702985178816.xml · nonDerivative · entry 1 Catterton-Noodles Holdings, LLC · CIK 0001821968 · 10% owner · Multiple Owners CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Catterton-Noodles, LLC · CIK 0001580004 · 10% owner · Multiple Reporting Owners Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,787,476 F1 · balance_after: On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · ownership.direct: On December 1, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,000,000 shares of Class A Common Stock, at a price of $7.50 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 1,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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 Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. Read SEC document |
| August 27, 2020 Filed Aug 28, 2020 20:41 UTC | NOODLES & Co NDLS · Entity 6874 | SaleClass A Common Stock | 1,435,000 | $7.85 | $11,264,750.00 |
DisclosureSEC source: 0001275158-20-000113 · wf-form4_159864726415905.xml · nonDerivative · entry 1 Catterton-Noodles Holdings, LLC · CIK 0001821968 · 10% owner · Multiple Owners CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Catterton-Noodles, LLC · CIK 0001580004 · 10% owner · Multiple Reporting Owners Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,787,476 F1 · balance_after: On August 27, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,435,000 shares of Class A Common Stock, at a price of $7.85 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 2,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · ownership.direct: On August 27, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,435,000 shares of Class A Common Stock, at a price of $7.85 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 2,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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 Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 20:15 UTC | NOODLES & Co NDLS · Entity 6874 | OtherClass A Common Stock | 1,618,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001275158-20-000105 · wf-form4_159786812787478.xml · nonDerivative · entry 1 Catterton-Noodles, LLC · CIK 0001580004 · 10% owner · Multiple Reporting Owners CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 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: Indirect · Multiple Owners Disclosed balance after: 4,606,337 F1 · kind: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · balance_after: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · ownership.direct: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. F1 · ownership.nature: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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.nature: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner. Read SEC document |
| August 17, 2020 Filed Aug 26, 2020 20:15 UTC Amendment | NOODLES & Co NDLS · Entity 6874 | OtherClass A Common Stock | 2,002,511 | $0.00 | $0.00 |
DisclosureSEC source: 0001275158-20-000110 · wf-form4a_159847291912769.xml · nonDerivative · entry 1 Catterton-Noodles, LLC · CIK 0001580004 · 10% owner · Multiple Reporting Owners CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 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: Indirect · Multiple Owners Disclosed balance after: 4,222,476 F1 · kind: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,222,476 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · balance_after: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,222,476 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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. F1 · ownership.direct: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,222,476 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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: Member of 10% Owner Group CP 6 Management, L.L.C.: 10% Owner Dahnke, Scott Arnold: 10% Owner Chu, James Michael: 10% Owner. F1 · ownership.nature: On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,222,476 shares of Class A Common Stock. Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. 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.nature: Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles, LLC: Member of 10% Owner Group CP 6 Management, L.L.C.: 10% Owner Dahnke, Scott Arnold: 10% Owner Chu, James Michael: 10% Owner. Read SEC document |
| November 29, 2018 Filed Nov 29, 2018 21:54 UTC | NOODLES & Co NDLS · Entity 6874 | SaleClass A Common Stock | 1,858,387 | $8.90 | $16,539,644.30 |
DisclosureSEC 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. Read SEC document |
| August 02, 2018 Filed Aug 2, 2018 20:13 UTC | NOODLES & Co NDLS · Entity 6874 | SaleClass A Common Stock | 526,541 | $10.00 | $5,265,410.00 |
DisclosureSEC 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 |
| July 26, 2018 Filed Jul 30, 2018 11:45 UTC | NOODLES & Co NDLS · Entity 6874 | SaleClass A Common Stock | 2,477,842 | $10.00 | $24,778,420.00 |
DisclosureSEC 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 |
| April 12, 2017 Filed Apr 12, 2017 20:11 UTC | NOODLES & Co NDLS · Entity 6874 | ConversionSeries A Convertible Preferred Stock · Derivative | 18,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-023095 · a4.xml · derivative · entry 2 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: 0 Underlying: Class A Common Stock · 4,252,873 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. F1 · derivative.exercise_price: Pursuant to its rights under the Securities Purchase Agreement by and among the Company and Catterton-Noodles, LLC ("Catterton Noodles"), the Company issued a conversion notice causing all shares of Series A Convertible Preferred Stock ("Preferred Stock") held by Catterton Noodles to be automatically converted into shares of the Company's Class A Common Stock, effective April 12, 2017. Each share of Preferred Stock is convertible at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Preferred Stock. F4 · price: Not applicable. F3 · derivative.expiration_date: The shares of Preferred Stock have no expiration date. F2 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton Noodles. CP6 Management, L.L.C. ("CP6") 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. Read SEC document |
| April 12, 2017 Filed Apr 12, 2017 20:11 UTC | NOODLES & Co NDLS · Entity 6874 | ConversionClass A Common Stock | 4,252,873 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-023095 · a4.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: 11,087,757 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. F1 · price: Pursuant to its rights under the Securities Purchase Agreement by and among the Company and Catterton-Noodles, LLC ("Catterton Noodles"), the Company issued a conversion notice causing all shares of Series A Convertible Preferred Stock ("Preferred Stock") held by Catterton Noodles to be automatically converted into shares of the Company's Class A Common Stock, effective April 12, 2017. Each share of Preferred Stock is convertible at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Preferred Stock. F2 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton Noodles. CP6 Management, L.L.C. ("CP6") 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. Read SEC document |
| February 09, 2017 Filed Feb 9, 2017 22:01 UTC | NOODLES & Co NDLS · Entity 6874 | PurchaseWarrants to Purchase Class A Common Stock · Derivative | 1,913,792 | $0.00 Strike: $4.35 | $0.00 |
DisclosureSEC source: 0001104659-17-007860 · a4.xml · derivative · entry 2 Catterton-Noodles, LLC · CIK 0001580004 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · Director · 10% owner Chu James Michael · CIK 0001544498 · 10% owner CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Catterton-Noodles, LLC Disclosed balance after: 1,913,792 Underlying: Class A Common Stock · 1,913,792 shares Expires 2022-02-09 F2 · kind: On February 8, 2017, Noodles & Company and Catterton-Noodles, LLC ("Catterton Noodles") entered into a Securities Purchase Agreement, pursuant to which Catterton Noodles acquired the securities reported on this Form 4. F4 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton Noodles. CP Management 6, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6. Read SEC document |
| February 09, 2017 Filed Feb 9, 2017 22:01 UTC | NOODLES & Co NDLS · Entity 6874 | PurchaseSeries A Convertible Preferred Stock · Derivative | 18,500 | $1,000.00 | $18,500,000.00 |
DisclosureSEC source: 0001104659-17-007860 · a4.xml · derivative · entry 1 Catterton-Noodles, LLC · CIK 0001580004 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · Director · 10% owner Chu James Michael · CIK 0001544498 · 10% owner CP6 Management, L.L.C. · CIK 0001555549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Catterton-Noodles, LLC Disclosed balance after: 4,252,873 Underlying: Class A Common Stock · 4,252,873 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible at any time at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Series A Convertible Preferred Stock. F2 · kind: On February 8, 2017, Noodles & Company and Catterton-Noodles, LLC ("Catterton Noodles") entered into a Securities Purchase Agreement, pursuant to which Catterton Noodles acquired the securities reported on this Form 4. F3 · derivative.expiration_date: The shares of Series A Convertible Preferred Stock have no expiration date. F4 · ownership.direct: The securities reported on this Form 4 are held of record by Catterton Noodles. CP Management 6, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.