0001017712-12-000038.txt : 20121017 0001017712-12-000038.hdr.sgml : 20121017 20121017204009 ACCESSION NUMBER: 0001017712-12-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121016 FILED AS OF DATE: 20121017 DATE AS OF CHANGE: 20121017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COOK GERALD CENTRAL INDEX KEY: 0001248272 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28784 FILM NUMBER: 121149361 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOT TOPIC INC /CA/ CENTRAL INDEX KEY: 0001017712 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-APPAREL & ACCESSORY STORES [5600] IRS NUMBER: 770198182 STATE OF INCORPORATION: CA FISCAL YEAR END: 0130 BUSINESS ADDRESS: STREET 1: 18305 EAST SAN JOSE AVENUE CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 BUSINESS PHONE: 6268394681 MAIL ADDRESS: STREET 1: 18305 EAST SAN JOSE AVENUE CITY: CITY OF INDUSTRY STATE: CA ZIP: 91768 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2012-10-16 0 0001017712 HOT TOPIC INC /CA/ HOTT 0001248272 COOK GERALD 18305 E. SAN JOSE AVE. CITY OF INDUSTRY CA 91748 0 1 0 0 Chief Store Officer Common Stock 2012-10-16 4 M 0 600 4.75 A 16885 D Common Stock 2012-10-16 4 S 0 600 9.56 D 16285 D Non-Qualified Stock Option (right to buy) 4.75 2012-10-16 4 M 0 600 0 D 2009-03-26 2018-03-26 Common Stock 600 74400 D The trasnactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 21, 2012. Includes shares acquired pursuant to the Company's Employee Stock Purchase Plan. This transaction was executed in multiple trades at prices ranging from $9.50 to $9.62. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vested quarterly thereafter. The stock option is fully vested and exercisable. Gerald Cook 2012-10-17