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TAST Carrols Restaurant Group Inc

9.52
0.01 (0.11%)
After Hours
Last Updated: 21:00:55
Delayed by 15 minutes
Share Name Share Symbol Market Type
Carrols Restaurant Group Inc NASDAQ:TAST NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.01 0.11% 9.52 9.51 9.58 9.53 9.51 9.52 298,850 21:00:55

Statement of Changes in Beneficial Ownership (4)

14/08/2020 10:44pm

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 *

DiGenova Gerald J
2. Issuer Name and Ticker or Trading Symbol

CARROLS RESTAURANT GROUP, INC. [ TAST ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
VP, Human Resources
(Last)          (First)          (Middle)

C/O CARROLS RESTAURANT GROUP, INC.,, 968 JAMES STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

8/12/2020
(Street)

SYRACUSE, NY 13203
(City)        (State)        (Zip)
4. 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 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

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
Stock Options (right to buy) $7.12 8/12/2020  A   25000     (1)8/12/2027 Common Stock, par value $0.01 per share 25000 $0 25000 D  

Explanation of Responses:
(1) The Options were granted to the Reporting Person pursuant to the Issuer's 2016 Stock Incentive Plan and will vest and become exercisable over a period of three years, with one-third (1/3) of such Options vesting on each of August 12, 2021, August 12, 2022 and August 12, 2023.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
DiGenova Gerald J
C/O CARROLS RESTAURANT GROUP, INC.,
968 JAMES STREET
SYRACUSE, NY 13203


VP, Human Resources

Signatures
/s/ Gerald DiGenova8/14/2020
**Signature of Reporting PersonDate

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