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NDLS Noodles and Company

1.58
0.02 (1.28%)
04 May 2024 - Closed
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
  0.02 1.28% 1.58 1.01 1.67 1.63 1.53 1.55 231,096 01:00:00

Statement of Changes in Beneficial Ownership (4)

28/08/2020 9:42pm

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 *

Catterton-Noodles Holdings, LLC
2. Issuer Name and Ticker or Trading Symbol

NOODLES & Co [ NDLS ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    __X__ 10% Owner
_____ Officer (give title below)    __X__ Other (specify below)
Multiple Owners
(Last)          (First)          (Middle)

599 WEST PUTNAM AVENUE, SUITE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

8/27/2020
(Street)

GREENWICH, CT 06831
(City)        (State)        (Zip)
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
Class A Common Stock 8/27/2020  S  1435000 D$7.85 2787476 (1)D (1)(2) 

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants to Purchase Class A Common Stock $4.35           8/9/2017 2/9/2022 Class A Common Stock 1913793.0  1913793 I Multiple Owners (1)(2)

Explanation of Responses:
(1) On August 27, 2020, Catterton-Noodles Holdings, LLC ("Catterton Noodles Holdings") sold 1,435,000 shares of Class A Common Stock, at a price of $7.85 per share, pursuant to a private transaction. Upon completion of the transaction, Catterton Noodles Holdings is the holder of record of 2,787,476 shares of Class A Common Stock. Catterton-Noodles, LLC ("Catterton Noodles") holds warrants that are immediately exercisable for the purchase of up to 1,913,793 shares of Class A Common Stock. CP6 Management, L.L.C. ("CP6") is the manager of each of Catterton Noodles and Catterton Noodles Holdings. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6.
(2) Relationship of Reporting Person(s) to the Issuer: Catterton-Noodles Holdings, LLC: 10% Owner; Catterton-Noodles, LLC: Member of 10% Owner Group; CP 6 Management, L.L.C.: 10% Owner; Dahnke, Scott Arnold: 10% Owner; Chu, James Michael: 10% Owner.

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

X
Multiple Owners
CP6 Management, L.L.C.
599 WEST PUTNAM AVENUE
GREENWICH, CT 06830

X

Dahnke Scott Arnold
599 WEST PUTNAM AVENUE
GREENWICH, CT 06830

X

Chu James Michael
599 WEST PUTNAM AVENUE
GREENWICH, CT 06830

X

Catterton-Noodles, LLC
599 WEST PUTNAM AVENUE
SUITE 200
GREENWICH, CT 06830

X
Multiple Reporting Owners

Signatures
Scott A. Dahnke (Authorized Person for Catterton-Noodles Holdings, LLC)8/28/2020
**Signature of Reporting PersonDate

/s/ Scott A. Dahnke (Authorized Person for CP6 Management, L.L.C.)8/28/2020
**Signature of Reporting PersonDate

/s/ Scott A. Dahnke8/28/2020
**Signature of Reporting PersonDate

/s/ J. Michael Chu8/28/2020
**Signature of Reporting PersonDate

/s/ Scott A. Dahnke (Authorized Person for Catterton-Noodles, LLC)8/28/2020
**Signature of Reporting PersonDate

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