person · Reporting owner

Chu James Michael

Disclosed activity across 8 companies

Tapewire entity: 22802
SEC CIK: 0001544498

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Birkenstock Holding plcBIRK · Entity 3832	Director	August 17, 2026	August 17, 2026
Wheels Up Experience Inc.ASPL · Entity 6501	10% owner	September 22, 2020	September 23, 2020

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.

Birkenstock Holding plc

Report date August 17, 2026 · Filed August 17, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary shares, no par valueSEC Table I · non-derivative	IndirectBy BK LC Lux MidCo S.a r.l.	71,270,287	Reported balance After 2026-08-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-08-17 · Sale · Disposed 28,146,226 · Balance 71,270,287 F1: The reported price represents the price received from the underwriter by BK LC Lux MidCo S.a r.l. ("MidCo") in connection with an underwritten block trade. F2: The reported securities are held directly by MidCo. The management of MidCo is controlled by BK LC Lux SCA. BK LC Lux GP S.a r.l. is the general partner of BK LC Lux SCA. The management of BK LC Lux GP S.a r.l. is controlled by LC9 Caledonia AIV GP, LLP. LC9 Caledonia AIV GP, LLP is managed by its members, Catterton Caledonia 1 Limited ("Caledonia 1") and Catterton Caledonia 2 Limited ("Caledonia 2"). The management of each of Caledonia 1 and Caledonia 2 is controlled by its directors. The Reporting Person's role as a director of Caledonia 1 and Caledonia 2 may be deemed to give him voting and dispositive power with respect to the shares held directly by MidCo. F3: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The reported price represents the price received from the underwriter by BK LC Lux MidCo S.a r.l. ("MidCo") in connection with an underwritten block trade.

F2: The reported securities are held directly by MidCo. The management of MidCo is controlled by BK LC Lux SCA. BK LC Lux GP S.a r.l. is the general partner of BK LC Lux SCA. The management of BK LC Lux GP S.a r.l. is controlled by LC9 Caledonia AIV GP, LLP. LC9 Caledonia AIV GP, LLP is managed by its members, Catterton Caledonia 1 Limited ("Caledonia 1") and Catterton Caledonia 2 Limited ("Caledonia 2"). The management of each of Caledonia 1 and Caledonia 2 is controlled by its directors. The Reporting Person's role as a director of Caledonia 1 and Caledonia 2 may be deemed to give him voting and dispositive power with respect to the shares held directly by MidCo.

F3: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Wheels Up Experience Inc.

Report date September 22, 2020 · Filed September 23, 2020

Jointly reported with Aspirational Consumer Lifestyle Sponsor LLC, Dalvey Partners (BVI) Ltd, Liber Pater, LLC, Thakran Ravi, Dahnke Scott Arnold

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B ordinary sharesSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2020-09-22 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-248592) under the heading "Description of Securities--Founder Shares", Class B ordinary shares, par value $0.0001, of the issuer will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date. Includes 843,750 Class B Ordinary Shares that are subject to forfeiture if the underwriter of the issuer's initial public offering does not exercise in full its option to purchase additional units. F2: The reporting owner, Aspirational Consumer Lifestyle Sponsor LLC (the "Sponsor"), in whose name the securities reported herein are held. The members of the Sponsor are Dalvey Partners (BVI) Limited and Liber Pater, LLC. Dalvey Partners (BVI) Limited is controlled by Ravi Thakran. Liber Pater, LLC is controlled by J. Michael Chu and Scott A. Dahnke. Each of the Reporting Persons (other than the Sponsor) may be deemed a beneficial owner of shares held by the Sponsor but each disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-248592) under the heading "Description of Securities--Founder Shares", Class B ordinary shares, par value $0.0001, of the issuer will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to certain adjustment, and have no expiration date. Includes 843,750 Class B Ordinary Shares that are subject to forfeiture if the underwriter of the issuer's initial public offering does not exercise in full its option to purchase additional units.

F2: The reporting owner, Aspirational Consumer Lifestyle Sponsor LLC (the "Sponsor"), in whose name the securities reported herein are held. The members of the Sponsor are Dalvey Partners (BVI) Limited and Liber Pater, LLC. Dalvey Partners (BVI) Limited is controlled by Ravi Thakran. Liber Pater, LLC is controlled by J. Michael Chu and Scott A. Dahnke. Each of the Reporting Persons (other than the Sponsor) may be deemed a beneficial owner of shares held by the Sponsor but each disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his or its pecuniary interest therein.

Past disclosures · reporting ended (6)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

BurgerFi International, Inc.

Report date February 24, 2023 · Filed February 28, 2023

Jointly reported with CP7 Warming Bag, L.P., CP7 Management, L.L.C., Dahnke Scott Arnold

Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,429,741	Reported balance After 2023-02-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-02-24 · Sale · Disposed 1,500,000 · Balance 1,429,741 F1: The shares were sold pursuant to the Stock Purchase Agreement dated February 24, 2023, by and among CP7 Warming Bag, L.P. and the buyers listed on the signature pages thereto.

Filing footnotes · ownership attribution and instrument terms

F1: The shares were sold pursuant to the Stock Purchase Agreement dated February 24, 2023, by and among CP7 Warming Bag, L.P. and the buyers listed on the signature pages thereto.

Honest Company, Inc.

Report date September 18, 2024 · Filed September 20, 2024

Jointly reported with THC Shared Abacus, LP, Dahnke Scott Arnold

Section 16 reporting ended · disclosed 2024-09-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	9,869,803	Reported balance After 2024-09-18 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-09-18 · Sale · Disposed 2,300,000 · Balance 9,869,803 F1: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and J. Michael Chu and Scott A. Dahnke are the controlling managing members of C8 Management, L.L.C. Each of the reporting persons disclaim, for purposes of Section 16 of the Securities and Exchange Act of 1934, beneficial ownership of such shares except to the extent of his pecuniary interest therein. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. F3: Each reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	109,074	Reported balance Holding disclosure · report date 2024-09-18 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 109,074 F2: The reported securities are directly held, 13,996 by Scott A. Dahnke and 85,027 by Avik Pramanik, for the benefit of L Catterton VIII, L.P and L Catterton VIII Offshore, L.P. (together, "L Catterton VIII"), pursuant to Nominee and Indemnity Agreements. L Catterton VIII, together with Catterton Managing Partner VIII, L.L.C as the general partner of L Catterton VIII, and C8 Management, L.L.C, as the managing member of Catterton Managing Partner VIII, L.L.C., may be deemed to have shared beneficial ownership of the reported securities received by Mssrs. Dahnke and Pramanik as equity awards from the Issuer. F3: Each reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and J. Michael Chu and Scott A. Dahnke are the controlling managing members of C8 Management, L.L.C. Each of the reporting persons disclaim, for purposes of Section 16 of the Securities and Exchange Act of 1934, beneficial ownership of such shares except to the extent of his pecuniary interest therein. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830.

F2: The reported securities are directly held, 13,996 by Scott A. Dahnke and 85,027 by Avik Pramanik, for the benefit of L Catterton VIII, L.P and L Catterton VIII Offshore, L.P. (together, "L Catterton VIII"), pursuant to Nominee and Indemnity Agreements. L Catterton VIII, together with Catterton Managing Partner VIII, L.L.C as the general partner of L Catterton VIII, and C8 Management, L.L.C, as the managing member of Catterton Managing Partner VIII, L.L.C., may be deemed to have shared beneficial ownership of the reported securities received by Mssrs. Dahnke and Pramanik as equity awards from the Issuer.

F3: Each reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

Leslie's, Inc.

Report date December 12, 2022 · Filed December 13, 2022

Jointly reported with Bubbles Investor Aggregator, L.P., Dahnke Scott Arnold

Section 16 reporting ended · disclosed 2022-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	8,776,904	Reported balance After 2022-12-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-12-12 · Sale · Disposed 9,343,499 · Balance 8,776,904 F1: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board.

F2: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

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, Catterton-Noodles, LLC

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 row Row 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 row Row 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.

Norwegian Cruise Line Holdings Ltd.

Report date November 17, 2020 · Filed March 09, 2021

Jointly reported with LC9 Skipper, L.P., LC9 Managers Ltd.

Section 16 reporting ended · disclosed 2021-03-09. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Vroom, Inc.

Report date July 19, 2021 · Filed July 21, 2021

Jointly reported with CGP2 Lone Star, L.P., CGP2 Zoom Holding, L.P., LCGP3 Accelerator, L.P., CGP2 Managers, L.L.C., CGP3 Managers, L.L.C., Catterton Management Company, L.L.C.

Section 16 reporting ended · disclosed 2021-07-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectDirectly held by CGP2 Lone Star, L.P.	4,734	Reported balance After 2021-07-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-07-19 · Other · Disposed 10,589,776 · Balance 4,734 F1: Each of CGP2 Lone Star, L.P. and CGP2 Zoom Holding, L.P. distributed its shares of common stock in-kind to its limited partners. F2: Each of Michael Farello and Scott Dahnke have entered into a Nominee and Indemnity Agreement, pursuant to which they have agreed to hold any equity awards granted to them for their service as directors of the Issuer as nominee for CGP2 Lone Star, L.P. ("CGP2 Lone Star"). Catterton Management Company, L.L.C., as manager of CGP2 Lone Star, may be deemed to share beneficial ownership of the equity awards held as nominee by Messrs. Farello and Dahnke. Each of the foregoing entities and individuals disclaims beneficial ownership the shares underlying such equity awards except to the extent of their pecuniary interest therein, if any. F3: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer.
Common StockSEC Table I · non-derivative	IndirectDirectly held by CGP2 Zoom Holding, L.P.	0	Reported balance After 2021-07-19 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-07-19 · Other · Disposed 6,994,354 · Balance 0 F1: Each of CGP2 Lone Star, L.P. and CGP2 Zoom Holding, L.P. distributed its shares of common stock in-kind to its limited partners. F3: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer.
Common StockSEC Table I · non-derivative	IndirectDirectly held by LCGP3 Accelerator, L.P.	318,181	Reported balance Holding disclosure · report date 2021-07-19 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 318,181 F3: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Each of CGP2 Lone Star, L.P. and CGP2 Zoom Holding, L.P. distributed its shares of common stock in-kind to its limited partners.

F2: Each of Michael Farello and Scott Dahnke have entered into a Nominee and Indemnity Agreement, pursuant to which they have agreed to hold any equity awards granted to them for their service as directors of the Issuer as nominee for CGP2 Lone Star, L.P. ("CGP2 Lone Star"). Catterton Management Company, L.L.C., as manager of CGP2 Lone Star, may be deemed to share beneficial ownership of the equity awards held as nominee by Messrs. Farello and Dahnke. Each of the foregoing entities and individuals disclaims beneficial ownership the shares underlying such equity awards except to the extent of their pecuniary interest therein, if any.

F3: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 17, 2026 Filed Aug 17, 2026 20:05 UTC	Birkenstock Holding plc BIRK · Entity 3832	SaleOrdinary shares, no par value	28,146,226	$39.18	$1,102,769,134.68	Disclosure SEC source: 0001193125-26-354024 · ownership.xml · nonDerivative · entry 1 Chu James Michael · CIK 0001544498 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By BK LC Lux MidCo S.a r.l. Disclosed balance after: 71,270,287 F1 · price: The reported price represents the price received from the underwriter by BK LC Lux MidCo S.a r.l. ("MidCo") in connection with an underwritten block trade. F2 · ownership.nature: The reported securities are held directly by MidCo. The management of MidCo is controlled by BK LC Lux SCA. BK LC Lux GP S.a r.l. is the general partner of BK LC Lux SCA. The management of BK LC Lux GP S.a r.l. is controlled by LC9 Caledonia AIV GP, LLP. LC9 Caledonia AIV GP, LLP is managed by its members, Catterton Caledonia 1 Limited ("Caledonia 1") and Catterton Caledonia 2 Limited ("Caledonia 2"). The management of each of Caledonia 1 and Caledonia 2 is controlled by its directors. The Reporting Person's role as a director of Caledonia 1 and Caledonia 2 may be deemed to give him voting and dispositive power with respect to the shares held directly by MidCo. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
September 18, 2024 Filed Sep 20, 2024 16:47 UTC	Honest Company, Inc. HNST · Entity 5346	SaleCommon Stock	2,300,000	$3.50	$8,050,000.00	Disclosure SEC source: 0000950170-24-108442 · ownership.xml · nonDerivative · entry 1 THC Shared Abacus, LP · CIK 0001860260 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,869,803 F1 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and J. Michael Chu and Scott A. Dahnke are the controlling managing members of C8 Management, L.L.C. Each of the reporting persons disclaim, for purposes of Section 16 of the Securities and Exchange Act of 1934, beneficial ownership of such shares except to the extent of his pecuniary interest therein. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. F3 · ownership.direct: Each reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Read SEC document
February 24, 2023 Filed Feb 28, 2023 19:45 UTC	BurgerFi International, Inc. BFI · Entity 87763	SaleCommon Stock	1,500,000	$0.50	$750,000.00	Disclosure SEC source: 0001062993-23-005208 · form4.xml · nonDerivative · entry 1 CP7 Warming Bag, L.P. · CIK 0001891754 · 10% owner CP7 Management, L.L.C. · CIK 0001803053 · 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: Direct Disclosed balance after: 1,429,741 F1 · kind: The shares were sold pursuant to the Stock Purchase Agreement dated February 24, 2023, by and among CP7 Warming Bag, L.P. and the buyers listed on the signature pages thereto. F1 · price: The shares were sold pursuant to the Stock Purchase Agreement dated February 24, 2023, by and among CP7 Warming Bag, L.P. and the buyers listed on the signature pages thereto. Read SEC document
December 12, 2022 Filed Dec 13, 2022 21:05 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	9,343,499	$12.02	$112,308,857.98	Disclosure SEC source: 0000899243-22-038305 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · Former 10% Owner Chu James Michael · CIK 0001544498 · Former 10% Owner Dahnke Scott Arnold · CIK 0001545446 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,776,904 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
November 03, 2022 Filed Nov 7, 2022 17:13 UTC	BurgerFi International, Inc. BFI · Entity 87763	OtherNon-Convertible Series A Preferred Stock	2,120,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001062993-22-021668 · form4.xml · nonDerivative · entry 2 CP7 Warming Bag, L.P. · CIK 0001891754 · 10% owner Cardboard Box LLC · CIK 0001891805 · 10% owner CP7 Management, L.L.C. · CIK 0001803053 · 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 · See Footnote Disclosed balance after: 0 F1 · kind: On November 3, 2022, Cardboard Box LLC ("Cardboard Box") effected a distribution of all of the shares of Common Stock and Series A Preferred Stock of the Issuer to the members of Cardboard Box. F1 · price: On November 3, 2022, Cardboard Box LLC ("Cardboard Box") effected a distribution of all of the shares of Common Stock and Series A Preferred Stock of the Issuer to the members of Cardboard Box. F2 · ownership.nature: Held directly by Cardboard Box. CP7 Warming Bag, L.P. ("CP7 Warming Bag") serves as the majority member of Cardboard Box. CP7 Management, LLC ("CP7 Management") is the general partner of CP7 Warming Bag, and Scott Dahnke and J. Michael Chu are managing members of CP7 Management. Each of the Reporting Persons disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document
November 03, 2022 Filed Nov 7, 2022 17:13 UTC	BurgerFi International, Inc. BFI · Entity 87763	OtherCommon Stock	3,076,031	Not disclosed	Not disclosed	Disclosure SEC source: 0001062993-22-021668 · form4.xml · nonDerivative · entry 1 CP7 Warming Bag, L.P. · CIK 0001891754 · 10% owner Cardboard Box LLC · CIK 0001891805 · 10% owner CP7 Management, L.L.C. · CIK 0001803053 · 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 · See Footnote Disclosed balance after: 0 F1 · kind: On November 3, 2022, Cardboard Box LLC ("Cardboard Box") effected a distribution of all of the shares of Common Stock and Series A Preferred Stock of the Issuer to the members of Cardboard Box. F1 · price: On November 3, 2022, Cardboard Box LLC ("Cardboard Box") effected a distribution of all of the shares of Common Stock and Series A Preferred Stock of the Issuer to the members of Cardboard Box. F2 · ownership.nature: Held directly by Cardboard Box. CP7 Warming Bag, L.P. ("CP7 Warming Bag") serves as the majority member of Cardboard Box. CP7 Management, LLC ("CP7 Management") is the general partner of CP7 Warming Bag, and Scott Dahnke and J. Michael Chu are managing members of CP7 Management. Each of the Reporting Persons disclaim, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his or its indirect pecuniary interest therein, and this report shall not be deemed an admission that they are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Read SEC document
January 21, 2022 Filed Mar 22, 2022 17:09 UTC	BurgerFi International, Inc. BFI · Entity 87763	OtherCommon Stock	123,131	$10.25	$1,262,092.75	Disclosure SEC source: 0001062993-22-008329 · form4.xml · nonDerivative · entry 1 Cardboard Box LLC · CIK 0001891805 · 10% owner CP7 Warming Bag, L.P. · CIK 0001891754 · 10% owner CP7 Management, L.L.C. · CIK 0001803053 · 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: Direct Disclosed balance after: 3,076,031 F1 · kind: The shares were acquired pursuant to the Stock Purchase Agreement dated November 3, 2021, by and between Cardboard Box LLC, Hot Air, Inc. and the Issuer (the "Stock Purchase Agreement") pursuant to an adjustment to the consideration based on Leakage (as defined in the Stock Purchase Agreement). F1 · price: The shares were acquired pursuant to the Stock Purchase Agreement dated November 3, 2021, by and between Cardboard Box LLC, Hot Air, Inc. and the Issuer (the "Stock Purchase Agreement") pursuant to an adjustment to the consideration based on Leakage (as defined in the Stock Purchase Agreement). Read SEC document
December 16, 2021 Filed Dec 17, 2021 21:15 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	13,625,310	$20.25	$275,912,527.50	Disclosure SEC source: 0000899243-21-048766 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,120,403 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
September 17, 2021 Filed Sep 20, 2021 20:15 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	10,933,841	$21.34	$233,328,166.94	Disclosure SEC source: 0000899243-21-036580 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,745,713 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
July 19, 2021 Filed Jul 21, 2021 17:58 UTC	Vroom, Inc. VRM · Entity 7212	OtherCommon Stock	6,994,354	$0.00	$0.00	Disclosure SEC source: 0000899243-21-029280 · doc4.xml · nonDerivative · entry 2 CGP2 Lone Star, L.P. · CIK 0001814404 · Director · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · Director · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · Director · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · Director · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · Director · 10% owner Catterton Management Company, L.L.C. · CIK 0001560123 · Director · 10% owner Chu James Michael · CIK 0001544498 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly held by CGP2 Zoom Holding, L.P. Disclosed balance after: 0 F1 · kind: Each of CGP2 Lone Star, L.P. and CGP2 Zoom Holding, L.P. distributed its shares of common stock in-kind to its limited partners. F3 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
July 19, 2021 Filed Jul 21, 2021 17:58 UTC	Vroom, Inc. VRM · Entity 7212	OtherCommon Stock	10,589,776	$0.00	$0.00	Disclosure SEC source: 0000899243-21-029280 · doc4.xml · nonDerivative · entry 1 CGP2 Lone Star, L.P. · CIK 0001814404 · Director · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · Director · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · Director · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · Director · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · Director · 10% owner Catterton Management Company, L.L.C. · CIK 0001560123 · Director · 10% owner Chu James Michael · CIK 0001544498 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly held by CGP2 Lone Star, L.P. Disclosed balance after: 4,734 F1 · kind: Each of CGP2 Lone Star, L.P. and CGP2 Zoom Holding, L.P. distributed its shares of common stock in-kind to its limited partners. F2 · ownership.nature: Each of Michael Farello and Scott Dahnke have entered into a Nominee and Indemnity Agreement, pursuant to which they have agreed to hold any equity awards granted to them for their service as directors of the Issuer as nominee for CGP2 Lone Star, L.P. ("CGP2 Lone Star"). Catterton Management Company, L.L.C., as manager of CGP2 Lone Star, may be deemed to share beneficial ownership of the equity awards held as nominee by Messrs. Farello and Dahnke. Each of the foregoing entities and individuals disclaims beneficial ownership the shares underlying such equity awards except to the extent of their pecuniary interest therein, if any. F3 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are managing members of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 29, 2021 Filed Jun 30, 2021 20:30 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	799,669	$26.81	$21,439,765.63	Disclosure SEC source: 0000899243-21-026749 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,679,554 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
June 24, 2021 Filed Jun 28, 2021 18:09 UTC	Vroom, Inc. VRM · Entity 7212	GrantCommon Stock	4,734	$0.00	$0.00	Disclosure SEC source: 0000899243-21-026264 · doc4.xml · nonDerivative · entry 1 CGP2 Lone Star, L.P. · CIK 0001814404 · Director · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · Director · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · Director · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · Director · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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: Indirect · Directly held by CGP2 Lone Star, L.P. Disclosed balance after: 10,594,510 F1 · shares: Represents an award of restricted stock units that vest in full on the earlier of the day immediately preceding the date of the Issuer's first annual meeting of stockholders following the date of grant and June 24, 2022. Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer. F2 · ownership.nature: Each of Michael Farello and Scott Dahnke have entered into a Nominee and Indemnity Agreement, pursuant to which they have agreed to hold any equity awards granted to them for their service as directors of the Issuer as nominee for CGP2 Lone Star, L.P. ("CGP2 Lone Star"). Catterton Management Company, L.L.C., as manager of CGP2 Lone Star, may be deemed to share beneficial ownership of the equity awards held as nominee by Messrs. Farello and Dahnke. Each of them disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein, if any. Catterton Management Company, L.L.C. is separately filing a Form 3 to report the equity awards referenced herein. F3 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star. CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 14, 2021 Filed Jun 15, 2021 20:30 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	13,505,650	$26.81	$362,097,281.02	Disclosure SEC source: 0000899243-21-023859 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,479,223 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
May 24, 2021 Filed May 26, 2021 16:15 UTC	Vroom, Inc. VRM · Entity 7212	SaleCommon Stock	1,838,704	$43.76	$80,461,687.04	Disclosure SEC source: 0000899243-21-020736 · doc4.xml · nonDerivative · entry 1 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by LCGP3 Accelerator, L.P. Disclosed balance after: 318,181 F1 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. F2 · ownership.nature: (Continued from Footnote 1) A Form 4 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionSeries F Preferred Stock · Derivative	5,100,790	$0.00	$0.00	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · derivative · entry 7 THC Shared Abacus, LP · CIK 0001860260 · 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: Common Stock · 5,100,790 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 shares of Series F Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F4 · derivative.exercise_date: The shares of Series F Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F4 · derivative.expiration_date: The shares of Series F Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionSeries A-1 Preferred Stock · Derivative	3,239,594	$0.00	$0.00	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · derivative · entry 6 THC Shared Abacus, LP · CIK 0001860260 · 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: Common Stock · 3,239,594 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. F3 · derivative.exercise_price: The shares of Series A-1 Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F3 · derivative.exercise_date: The shares of Series A-1 Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F3 · derivative.expiration_date: The shares of Series A-1 Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionSeries A Preferred Stock · Derivative	1,934,226	$0.00	$0.00	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · derivative · entry 5 THC Shared Abacus, LP · CIK 0001860260 · 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: Common Stock · 1,934,226 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: The shares of Series A Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.exercise_date: The shares of Series A Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F1 · derivative.expiration_date: The shares of Series A Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	SaleCommon Stock	19,017,945	$16.00	$304,287,120.00	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · nonDerivative · entry 4 THC Shared Abacus, LP · CIK 0001860260 · 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: 12,169,803 F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionCommon Stock	5,100,790	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · nonDerivative · entry 3 THC Shared Abacus, LP · CIK 0001860260 · 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: 31,187,748 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 · price: The shares of Series F Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionCommon Stock	3,239,594	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · nonDerivative · entry 2 THC Shared Abacus, LP · CIK 0001860260 · 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: 26,086,958 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. F3 · price: The shares of Series A-1 Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
May 07, 2021 Filed May 11, 2021 18:45 UTC	Honest Company, Inc. HNST · Entity 5346	ConversionCommon Stock	1,934,226	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-064687 · tm2115136-2_4seq1.xml · nonDerivative · entry 1 THC Shared Abacus, LP · CIK 0001860260 · 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: 22,847,364 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: The shares of Series A Preferred Stock converted into shares of Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date. F2 · ownership.direct: Shares are held by THC Shared Abacus, LP. C8 Management, L.L.C. is the general partner of THC Shared Abacus, LP, and the management of C8 Management, L.L.C. is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Scott Dahnke is also a director of the Issuer and is making a separate Form 4 filing. The address of the entities and individuals mentioned in this footnote is 599 West Putnam Avenue, Greenwich, CT 06830. Read SEC document
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	Disclosure SEC 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
November 02, 2020 Filed Nov 2, 2020 22:16 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	9,467,468	$17.00	$160,946,956.00	Disclosure SEC source: 0000899243-20-030106 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly held by Bubbles Holdings, L.P. Disclosed balance after: 74,878,363 F1 · kind: Gives effect to cash distributions required to be paid in connection with the initial public offering of Leslie's, Inc. to the Reporting Person in respect of its economic interests in Bubbles Holdings, L.P., which is a parent entity of Leslie's, Inc. F1 · shares: Gives effect to cash distributions required to be paid in connection with the initial public offering of Leslie's, Inc. to the Reporting Person in respect of its economic interests in Bubbles Holdings, L.P., which is a parent entity of Leslie's, Inc. F2 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F3 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F4 · ownership.direct: The shares shown in this row are held by Bubbles Holdings, L.P. as of the date hereof but are required to be distributed to as soon as reasonably practicable after the date of the initial public offering of Leslie's, Inc. The amounts in this row represent economic interests, indirectly, of the common stock of Leslie's, Inc. based on its initial public offering price of $17.00 per share, and after giving effect to such share distribution. F4 · ownership.nature: The shares shown in this row are held by Bubbles Holdings, L.P. as of the date hereof but are required to be distributed to as soon as reasonably practicable after the date of the initial public offering of Leslie's, Inc. The amounts in this row represent economic interests, indirectly, of the common stock of Leslie's, Inc. based on its initial public offering price of $17.00 per share, and after giving effect to such share distribution. 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries H Preferred Stock · Derivative	1,838,704	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 10 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by LCGP3 Accelerator, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,838,704 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries G Preferred Stock · Derivative	668,488	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 9 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Zoom Holding, L.P. Disclosed balance after: 0 Underlying: Common Stock · 668,488 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries F Preferred Stock · Derivative	1,758,744	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 8 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Zoom Holding, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,758,744 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries E Preferred Stock · Derivative	1,232,758	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 7 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Lone Star, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,232,758 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries D Preferred Stock · Derivative	9,102,762	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 6 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Lone Star, L.P. Disclosed balance after: 0 Underlying: Common Stock · 9,102,762 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionSeries C Preferred Stock · Derivative	4,567,122	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · derivative · entry 5 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Zoom Holding, L.P. Disclosed balance after: 0 Underlying: Common Stock · 4,567,122 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: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	PurchaseCommon Stock	318,181	$22.00	$6,999,982.00	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · nonDerivative · entry 4 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by LCGP3 Accelerator, L.P. Disclosed balance after: 2,156,885 F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionCommon Stock	1,838,704	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · nonDerivative · entry 3 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by LCGP3 Accelerator, L.P. Disclosed balance after: 1,838,704 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 · shares: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionCommon Stock	6,994,354	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · nonDerivative · entry 2 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Zoom Holding, L.P. Disclosed balance after: 6,994,354 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 · shares: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
June 11, 2020 Filed Jun 15, 2020 16:01 UTC	Vroom, Inc. VRM · Entity 7212	ConversionCommon Stock	10,335,520	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-016490 · doc4.xml · nonDerivative · entry 1 CGP2 Lone Star, L.P. · CIK 0001814404 · 10% owner CGP2 Zoom Holding, L.P. · CIK 0001814400 · 10% owner LCGP3 Accelerator, L.P. · CIK 0001814403 · 10% owner CGP2 Managers, L.L.C. · CIK 0001814377 · 10% owner CGP3 Managers, L.L.C. · CIK 0001814388 · 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 · Directly held by CGP2 Lone Star, L.P. Disclosed balance after: 10,589,776 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 · shares: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a one-for-one basis. F2 · ownership.nature: CGP2 Managers, L.L.C. ("CGP2 Managers") is the general partner for each of CGP2 Zoom Holding, L.P. ("CGP2 Zoom Holding") and CGP2 Lone Star, L.P. ("CGP2 Lone Star"). CGP3 Managers, L.L.C. ("CGP3 Managers") is the general partner of LCGP3 Accelerator, L.P. ("LCGP3 Accelerator"). As such, CGP2 Managers may be deemed to beneficially own the shares held of record by each of CGP2 Zoom Holding and CGP2 Lone Star, and CGP3 Managers may be deemed to beneficially own the shares held of record by LCGP3 Accelerator. J. Michael Chu and Scott A. Dahnke are the members of the managing board of each of CGP2 Managers, L.L.C. and CGP3 Managers, L.L.C. and as such may be deemed to share beneficial ownership of the securities held of record by each of the foregoing entities. F3 · ownership.nature: (Continued from footnote 2) Each of Mr. Chu and Mr. Dahnke disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, if any. A Form 3 is being filed separately by Mr. Dahnke in his capacity as a director of the Issuer. Read SEC document
February 16, 2020 Filed Feb 16, 2021 23:58 UTC	Leslie's, Inc. LESL · Entity 8291	SaleCommon Stock, par value $0.001 per share	17,893,490	$25.22	$451,273,817.80	Disclosure SEC source: 0000899243-21-006758 · doc4.xml · nonDerivative · entry 1 Bubbles Investor Aggregator, L.P. · CIK 0001829133 · 10% owner Chu James Michael · CIK 0001544498 · 10% owner Dahnke Scott Arnold · CIK 0001545446 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,984,873 F1 · ownership.direct: C8 Management, L.L.C. is the general partner of Bubbles Investor Aggregator, L.P. and the management of C8 Management, L.L.C. is controlled by a managing board. F2 · ownership.direct: J. Michael Chu and Scott A. Dahnke are the members of the managing board of C8 Management, L.L.C. and as such could be deemed to share voting control and investment power over shares that may be deemed to be beneficially owned by the entities affiliated with Catterton Management Company, L.L.C., but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. 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	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. 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	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
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	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
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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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	Disclosure SEC 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.