0001017712-12-000048.txt : 20121203
0001017712-12-000048.hdr.sgml : 20121203
20121203175315
ACCESSION NUMBER: 0001017712-12-000048
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121129
FILED AS OF DATE: 20121203
DATE AS OF CHANGE: 20121203
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: 121238559
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
2012-11-29
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
2012-11-29
4
M
0
1250
6.37
A
17535
D
Common Stock
2012-11-29
4
S
0
1250
10.0063
D
16285
D
Common Stock
2012-11-29
4
M
0
25000
4.75
A
41285
D
Common Stock
2012-11-29
4
S
0
25000
10.0063
D
16285
D
Non-Qualified Stock Option (right to buy)
4.75
2012-11-29
4
M
0
25000
0
D
2009-03-26
2018-03-26
Common Stock
25000
0
D
Non-Qualified Stock Option (right to buy)
6.37
2012-11-29
4
M
0
1250
0
D
2011-03-17
2020-03-17
Common Stock
1250
98750
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 $10.00 to $10.08. 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
2012-12-03