|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zoe's Investors LLC c/o Brentwood Associates 11150 Santa Monica Blvd., Suite 1200 Los Angeles, CA 90025 |
X |
/s/ Anthony Choe as Attorney-in-Fact for Zoe's Investors, LLC | 04/15/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As a result of the distribution of all common stock held by Zoe's Investors, LLC to its members (including Brentwood Associates Private Equity IV, L.P.) in accordance with the units held by each member and pursuant to the terms of Zoe's Investors, LLC's Limited Liability Company Agreement, as amended, Zoe's Investors, LLC has ceased to hold any common stock. Brentwood Associates Private Equity IV, L.P., Brentwood Private Equity IV, L.P. and Brentwood Private Equity IV, LLC no longer have any beneficial interest in the shares held by Zoe's Investors, LLC prior to the distribution. |
(2) | On April 14, 2014, the common stock of Zoe's Kitchen, Inc. split 125,614.14-for-1, resulting in Zoe's Investors, LLC's ownership of a total of 12,561,414 shares of common stock. |