Statement of Changes in Beneficial Ownership (4)
February 06 2014 - 4:42PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Staenberg Michael H
|
2. Issuer Name
and
Ticker or Trading Symbol
GRANITE CITY FOOD & BREWERY LTD.
[
GCFB
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
2127 INNERBELT BUSINESS CENTER DR., #200
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/4/2014
|
(Street)
ST. LOUIS, MO 63114
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Redeemable Preferred Stock, par value $0.01
(1)
|
|
|
|
|
|
|
|
2000
|
I
|
By MHS Trust
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (right to buy)
(2)
|
$2.10
(3)
|
2/4/2014
|
|
A
|
|
25000
|
|
(4)
|
2/4/2024
|
Common Stock
|
25000
|
$0
|
25000
|
D
|
|
Warrant to Purchase Common Stock
|
$1.50
|
|
|
|
|
|
|
(5)
|
10/31/2018
|
Common Stock
|
350000
|
|
350000
|
I
|
By MHS Trust
|
Stock Option (right to buy)
|
$2.02
|
|
|
|
|
|
|
5/10/2014
|
5/10/2023
|
Common Stock
|
4950
|
|
4950
|
D
|
|
Stock Option (right to buy)
|
$2.21
|
|
|
|
|
|
|
5/10/2013
|
5/10/2022
|
Common Stock
|
4525
|
|
4525
|
D
|
|
Stock Option (right to buy)
|
$3.55
|
|
|
|
|
|
|
6/14/2012
|
6/14/2021
|
Common Stock
|
3000
|
|
3000
|
D
|
|
Explanation of Responses:
|
(
1)
|
This Redeemable Preferred Stock is not convertible into Common Stock.
|
(
2)
|
This option was granted under the Company's Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.
|
(
3)
|
Represents fair market value on the date of grant as determined by the Company's Compensation Committee.
|
(
4)
|
This option vests as follows: 10% on the date of grant, 15% on the first anniversary of the date of grant, an additional 20% on the second anniversary of the date of grant, an additional 25% on the third anniversary of the date of grant, and an additional 30% on the fourth anniversary of the date of grant.
|
(
5)
|
This warrant is exercisable to the extent of 50% of the shares of common stock on the date of issuance and then three equal annual installments of 16.67% each commencing on December 4, 2014.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Staenberg Michael H
2127 INNERBELT BUSINESS CENTER DR., #200
ST. LOUIS, MO 63114
|
X
|
|
|
|
Signatures
|
/s/ Monica A. Underwood, attorney-in-fact
|
|
2/6/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Granite City Food and Br... (CE) (USOTC:GCFB)
Historical Stock Chart
From Nov 2024 to Dec 2024
Granite City Food and Br... (CE) (USOTC:GCFB)
Historical Stock Chart
From Dec 2023 to Dec 2024