Statement of Changes in Beneficial Ownership (4)
August 27 2020 - 6:10PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
STETSON ROBERT J |
2. Issuer Name and Ticker or Trading Symbol
Good Times Restaurants Inc.
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GTIM
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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)
6125 LUTHER LN, #380 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/25/2020 |
(Street)
DALLAS, TX 75225
(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 | 8/25/2020 | | P | | 3300 | A | $1.5706 | 208040 | I | By SLKW Investments LLC (1) |
Common Stock | | | | | | | | 440000 | I | By REIT Redux, LP (2) |
Common Stock | | | | | | | | 20500 | I | By Leanlien, LLC (3) |
Common Stock | | | | | | | | 125605 | D | |
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) | 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 |
Restricted Stock Units | $0.00 | | | | | | | 11/16/2020 (4) | 11/16/2021 | Common Stock | 1827 | | 1827 | D | |
Explanation of Responses: |
(1) | The reporting person is the managing member and is a beneficial owner of SLKW Investments, LLC. |
(2) | The reporting person is the president of REIT Redux GP, the general partner of REIT Redux LP. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, of the shares held by REIT Redux LP, except to the extent of his pecuniary interest therein. |
(3) | Leanlien, LLC, a trust in which the reporting person beneficially owns 61% and his children beneficially own 39% |
(4) | The reporting person was granted 2,740 Restricted Stock Units on November 16, 2018 vesting at 1/3 of the total granted amount over three years. Such Restricted Stock Units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
STETSON ROBERT J 6125 LUTHER LN #380 DALLAS, TX 75225 | X |
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Signatures
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Robert J. Stetson | | 8/27/2020 |
**Signature of Reporting Person | Date |
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