- Statement of Changes in Beneficial Ownership (4)
August 24 2010 - 5:24PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bensyl William R
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2. Issuer Name
and
Ticker or Trading Symbol
RUBIOS RESTAURANTS INC
[
RUBO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
1902 WRIGHT PLACE, SUITE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/24/2010
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(Street)
CARLSBAD, CA 92008
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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8/24/2010
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D
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5000
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D
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$8.70
(1)
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0
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D
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Common Stock
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8/24/2010
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D
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4500
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D
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$8.70
(2)
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0
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D
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Common Stock
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8/24/2010
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D
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4500
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D
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$8.70
(2)
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0
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D
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Common Stock
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8/24/2010
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D
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4500
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D
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$8.70
(2)
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0
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D
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Common Stock
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8/24/2010
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D
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4500
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D
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$8.70
(2)
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0
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$2.90
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8/24/2010
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D
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516
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(3)
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7/28/2014
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Common
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516
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$3.33
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8/24/2010
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D
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450
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(3)
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11/5/2014
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Common
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450
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$4.22
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8/24/2010
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D
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504
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(3)
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12/7/2014
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Common
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504
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$8.25
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8/24/2010
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D
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647
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(3)
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4/28/2015
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Common
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647
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$8.35
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8/24/2010
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D
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1296
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(3)
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12/15/2015
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Common
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1296
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$7.36
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8/24/2010
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D
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775
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(3)
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7/26/2016
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Common
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775
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$8.70
(3)
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0
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D
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Stock Option (Right ot Buy)
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$5.76
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8/24/2010
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D
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5853
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(3)
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4/24/2018
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Common
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5853
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$5.40
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8/24/2010
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D
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5245
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(3)
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7/23/2018
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Common
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5245
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$4.00
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8/24/2010
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D
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10636
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(3)
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11/6/2018
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Common
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10636
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$4.09
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8/24/2010
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D
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6964
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(3)
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12/11/2018
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Common
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6964
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$4.86
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8/24/2010
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D
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6204
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(3)
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4/23/2019
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Common
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6204
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$5.76
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8/24/2010
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D
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4037
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(3)
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7/29/2019
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Common
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4037
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$7.84
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8/24/2010
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D
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2155
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(3)
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10/22/2019
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Common
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2155
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$8.70
(3)
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0
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D
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Stock Option (Right to Buy)
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$7.22
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8/24/2010
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D
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3833
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(3)
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12/10/2019
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Common
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3833
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$8.70
(3)
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0
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D
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Explanation of Responses:
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(
1)
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Disposed of pursuant to merger agreement ("Merger Agreement") by and among Issuer, MRRC Hold Co. and MRRC Merger Co. in exchange for $8.70 per share in cash.
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(
2)
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Disposed of pursuant to Merger Agreement in exchange for $8.70 in cash per restricted stock unit.
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(
3)
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The shares underlying this option are fully vested. The option has been cancelled in the merger in exchange for a cash payment representing the difference between the exercise price of the option and the merger price of the Issuer's common stock ($8.70 per share).
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bensyl William R
1902 WRIGHT PLACE, SUITE 300
CARLSBAD, CA 92008
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X
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Signatures
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William R. Bensyl
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8/24/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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