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NDLS Noodles and Company

1.7401
0.1601 (10.13%)
Last Updated: 20:15:39
Delayed by 15 minutes
Share Name Share Symbol Market Type
Noodles and Company NASDAQ:NDLS NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.1601 10.13% 1.7401 1.74 1.75 1.80 1.55 1.61 219,951 20:15:39

Initial Statement of Beneficial Ownership (3)

21/08/2020 9:16pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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 *

Catterton-Noodles Holdings, LLC
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/17/2020 

3. Issuer Name and Ticker or Trading Symbol

NOODLES & Co [NDLS]
(Last)        (First)        (Middle)

599 WEST PUTNAM AVENUE, SUITE 200
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          ___X___ 10% Owner
_____ Officer (give title below)        _____ Other (specify below)
(Street)

GREENWICH, CT 06831      

(City)              (State)              (Zip)
5. 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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Class A Common Stock 4606337 (1)D (1) 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants to Purchase Class A Common Stock 8/9/2017 2/9/2022 Class A Common Stock 1913793.0 $4.35 I (2)(2) 

Explanation of Responses:
(1) On August 17, 2020, Catterton-Noodles, LLC ("Catterton Noodles") made a pro rata distribution of 6,224,987 shares of Class A Common Stock, constituting all of the shares of Class A Common Stock for which it was the holder of record, to its members (the "Distribution"). Upon completion of the Distribution, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") is the holder of record of 4,606,337 shares of Class A Common Stock.
(2) Catterton Noodles holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock held by Catterton Noodles. Catterton Noodles Holdings may be deemed to beneficially own such warrants.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Catterton-Noodles Holdings, LLC
599 WEST PUTNAM AVENUE
SUITE 200
GREENWICH, CT 06831

X


Signatures
Scott A. Dahnke (Authorized Person for Catterton-Noodles Holdings, LLC)8/21/2020
**Signature of Reporting PersonDate

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