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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Diedrich Coffee (MM) | NASDAQ:DDRX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 35.35 | 0 | 01:00:00 |
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
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
HEESCHEN PAUL C |
2. Issuer Name
and
Ticker or Trading Symbol
DIEDRICH COFFEE INC [ DDRX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Exec. Chairman of the Board |
450 NEWPORT CENTER DRIVE, SUITE 450 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
NEWPORT BEACH, CA 92660 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ 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 | ||||||
Common Stock | 5/5/2010 | G | V | 112860 (1) | D | $0 | 921 | D (2) | ||
Common Stock | 1558158 | I | By Sequoia Enterprises, L.P. (3) | |||||||
Common Stock | 321854 | I | By D.C.H., L.P. (4) | |||||||
Common Stock | 450000 | I | By WF Trust (5) | |||||||
Common Stock | 250 | I | By Paul C. Heeschen Revocable Living Trust (6) | |||||||
Common Stock | 5/6/2010 | G | V | 50000 (7) | D | $0 | 921 | D (2) | ||
Common Stock | 1508158 | I | By Sequoia Enterprises, L.P. (3) | |||||||
Common Stock | 321854 | I | By D.C.H., L.P. (4) | |||||||
Common Stock | 450000 | I | By WF Trust (5) | |||||||
Common Stock | 250 | I | By Paul C. Heeschen Revocable Living Turst (6) |
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 |
Explanation of Responses: | |
( 1) | On May 5, 2010, 112,860 of the shares of common stock beneficially owned by Mr. Heeschen were transferred to charity, consisting of 38,573 shares of common stock held directly by Mr. Heeschen (which consists of 12,859 shares of common stock transferred by Sequoia Enterprises, L.P. ("Sequoia") and 25,714 shares of common stock transferred by D.C.H., L.P. ("D.C.H.") to Mr. Heeschen immediately prior to such transfer to charity), 2,587 shares of common stock held directly by Sequoia, and 71,700 shares of common stock held directly by D.C.H. |
( 2) | These shares are owned directly by Mr. Heeschen. |
( 3) | These shares are owned directly by Sequoia, a greater than 10% percent owner of the issuer, and indirectly by Mr. Heeschen, the sole general partner of Sequoia with sole voting and investing power as to all of the shares held by Sequoia. Mr. Heeschen is also the Executive Chairman of the Board of Directors of the issuer. |
( 4) | These shares are owned indirectly by Mr. Heeschen as the sole general partner of D.C.H. with sole voting and investment power as to all of the shares held by D.C.H. |
( 5) | These shares are owned indirectly by Mr. Heeschen as the sole trustee with sole voting and investing power as to all of the shares held by WF Trust. |
( 6) | These shares are owned indirectly by Mr. Heeschen as the sole trustee with sole voting and investing power as to all of the shares held by the Paul C. Heeschen Revocable Living Trust. |
( 7) | On May 6, 2010, 50,000 of the shares of common stock beneficially owned by Mr. Heeschen were transferred to charity, consisting completely of shares of common stock held directly by Sequoia. |
Reporting Owners
|
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
HEESCHEN PAUL C
450 NEWPORT CENTER DRIVE SUITE 450 NEWPORT BEACH, CA 92660 |
X | X | Exec. Chairman of the Board |
|
|
Sequoia Enterprises, L.P.
450 NEWPORT CENTER DRIVE SUITE 450 NEWPORT BEACH, CA 92660 |
|
X |
|
|
Signatures
|
||
/s/ Paul C. Heeschen | 5/7/2010 | |
** Signature of Reporting Person |
Date
|
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Paul C. Heeschen as General Partner, Sequoia Enterprises, L.P. | 5/7/2010 | |
** 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. |
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