Statement of Changes in Beneficial Ownership (4)
March 22 2021 - 4:31PM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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
*
LEFEVER SCOTT |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President of Operations |
(Last)
(First)
(Middle)
651 CORPORATE CIRCLE, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/18/2021 |
(Street)
GOLDEN, CO 80401
(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 | 3/18/2021 | | M | | 22346 (1) | A | $2.31 | 74513 | D | |
Common Stock | 3/18/2021 | | M | | 13000 (2) | A | $2.48 | 87513 | 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 (3) | 11/16/2021 | Common Stock | 3186 | | 3186 | D | |
Restricted Stock Units | $0.00 | | | | | | | 6/27/2018 (4) | 6/27/2021 | Common Stock | 3138 | | 6324 | D | |
Incentive Stock Options | $5.29 | | | | | | | 11/23/2015 (5) | 11/23/2025 | Common Stock | 7089 | | 13413 | D | |
Incentive Stock Options (Right to Buy) | $3.15 | | | | | | | 11/16/2016 (6) | 11/16/2026 | Common Stock | 12500 | | 25913 | D | |
Incentive Stock Options (Right to buy) | $3.55 | | | | | | | 6/27/2018 (7) | 6/27/2028 | Common Stock | 11424 | | 37337 | D | |
Incentive Stock Options (Right to buy) | $4.25 | | | | | | | 7/23/2018 (8) | 7/23/2028 | Common Stock | 4443 | | 41780 | D | |
Incentive Stock Options (Right to buy) | $4.66 | | | | | | | 11/16/2018 (9) | 11/16/2028 | Common Stock | 8703 | | 50483 | D | |
Explanation of Responses: |
(1) | Represents the exercise of 22,346 Incentive Stock Options granted to the Reporting Person on January 2, 2013 vesting at 1/5 of the total amount granted over five years. |
(2) | Represents the exercise of 13,000 Incentive Stock Options granted to the Reporting Person on November 21, 2013 vesting at 1/5 of the total amount granted over five years. |
(3) | The Reporting Person was granted 9,556 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. |
(4) | The Reporting Person was granted 9,412 Restricted Stock Units on June 27, 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. |
(5) | The Reporting Person was granted 7,089 Incentive Stock Options (Right to Buy) on November 23, 2015 vesting at 1/5 of the total amount granted over five years. Such Incentive Stock Options were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(6) | The Reporting Person was granted 12,500 Incentive Stock Options (Right to Buy) on November 16, 2016 vesting at 1/5 of the total amount granted over five years. Such Incentive Stock Options were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(7) | The Reporting Person was granted 11,424 Incentive Stock Options (Right to Buy) on June 27, 2018 vesting at 1/5 of the total amount granted over five years. Such Incentive Stock Options were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(8) | The Reporting Person was granted 4,443 Incentive Stock Options (Right to Buy) on July 23, 2018 vesting at 1/5 of the total amount granted over five years. Such Incentive Stock Options were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(9) | The Reporting Person was granted 8,703 Incentive Stock Options (Right to Buy) on November 16, 2018 vesting at 1/5 of the total amount granted over five years. Such Incentive Stock Options 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 |
LEFEVER SCOTT 651 CORPORATE CIRCLE, SUITE 200 GOLDEN, CO 80401 |
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| Vice President of Operations |
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Signatures
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Scott G. LeFever | | 3/19/2021 |
**Signature of Reporting Person | Date |
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