0001017712-12-000044.txt : 20121126 0001017712-12-000044.hdr.sgml : 20121126 20121126200305 ACCESSION NUMBER: 0001017712-12-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121123 FILED AS OF DATE: 20121126 DATE AS OF CHANGE: 20121126 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: 121225328 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 2012-11-23 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 2012-11-23 4 M 0 19358 5.77 A 35643 D Common Stock 2012-11-23 4 S 0 19358 9.7853 D 16285 D Common Stock 2012-11-23 4 M 0 25000 4.75 A 41285 D Common Stock 2012-11-23 4 S 0 25000 9.7853 D 16285 D Non-Qualified Stock Option (right to buy) 4.75 2012-11-23 4 M 0 25000 0 D 2009-03-26 2018-03-26 Common Stock 25000 25000 D Non-Qualified Stock Option (right to buy) 5.77 2012-11-23 4 M 0 19358 0 D 2012-03-30 2021-03-30 Common Stock 19358 230642 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 $9.75 to $9.85. 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. 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vest quarterly thereafter. Gerald Cook 2012-11-26