Statement of Changes in Beneficial Ownership (4)
July 07 2016 - 5:38PM
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
*
Levy Family Partners, LLC
|
2. Issuer Name
and
Ticker or Trading Symbol
Del Taco Restaurants, Inc.
[
TACO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
444 NORTH MICHIGAN AVENUE, SUITE 3500
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/6/2016
|
(Street)
CHICAGO, IL 60611
(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
|
Common Stock
|
7/6/2016
|
|
J
(1)
|
|
1783781
|
D
|
$0
|
2316459
|
D
|
|
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
|
Private Placement Warrants
|
$11.50
|
7/6/2016
|
|
J
(1)
|
|
|
5049623
|
(2)
|
(2)
|
Common Stock
|
5049623
|
$0
|
1769652
|
D
|
|
Explanation of Responses:
|
(
1)
|
Reflects pro rata distribution by Levy Acquisition Sponsor, LLC to its members, in accordance with their membership interests in Levy Acquisition Sponsor, LLC, for no consideration. The transaction is exempt under the Securities and Exchange Act of 1934, as amended (the "Exchange Act"). In the pro rata distribution, Levy Family Partners, LLC, the manager and a member of Levy Acquisition Sponsor, LLC, received 692,459 shares of Common Stock and Warrants to purchase 1,769,652 shares of Common Stock. In addition, upon completion of the distribution, Levy Acquisition Sponsor, LLC ceased to be subject to Section 16 of the Exchange Act.
|
(
2)
|
The warrants became exercisable on July 30, 2015 and will expire on June 30, 2020 or earlier upon certain events.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Levy Family Partners, LLC
444 NORTH MICHIGAN AVENUE
SUITE 3500
CHICAGO, IL 60611
|
|
X
|
|
|
Levy Acquisition Sponsor, LLC
444 NORTH MICHIGAN AVENUE
SUITE 3500
CHICAGO, IL 60611
|
|
X
|
|
|
Signatures
|
/s/ Zachary A. Swartz, Attorney-in-Fact
|
|
7/6/2016
|
**
Signature of Reporting Person
|
Date
|
/s/ Zachary A. Swartz, Attorney-in-Fact
|
|
7/6/2016
|
**
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.
|
Del Taco Restaurants (NASDAQ:TACO)
Historical Stock Chart
From Jun 2024 to Jul 2024
Del Taco Restaurants (NASDAQ:TACO)
Historical Stock Chart
From Jul 2023 to Jul 2024