0001017712-12-000042.txt : 20121119 0001017712-12-000042.hdr.sgml : 20121119 20121119181245 ACCESSION NUMBER: 0001017712-12-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121119 FILED AS OF DATE: 20121119 DATE AS OF CHANGE: 20121119 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: 121215944 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 2012-11-19 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 2012-11-19 4 M 0 23067 4.75 A 39352 D Common Stock 2012-11-19 4 S 0 23067 9.5107 D 16285 D Non-Qualified Stock Option (right to buy) 4.75 2012-11-19 4 M 0 23067 0 D 2009-03-26 2018-03-26 Common Stock 23067 50000 D The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 21, 2012. This transaction was executed in multiple trades at prices ranging from $9.50 to $9.56. 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 2012-11-19