0001017712-13-000002.txt : 20130107
0001017712-13-000002.hdr.sgml : 20130107
20130107152840
ACCESSION NUMBER: 0001017712-13-000002
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130103
FILED AS OF DATE: 20130107
DATE AS OF CHANGE: 20130107
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: 13515117
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
2013-01-03
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
2013-01-03
4
M
0
9375
5.77
A
25660
D
Common Stock
2013-01-03
4
S
0
9375
10.227
D
16285
D
Common Stock
2013-01-03
4
M
0
40950
5.77
A
57235
D
Common Stock
2013-01-03
4
S
0
40950
10.4492
D
16285
D
Common Stock
2013-01-03
4
M
0
37500
6.37
A
53785
D
Common Stock
2013-01-03
4
S
0
37500
10.5249
D
16285
D
Non-Qualified Stock Option (right to buy)
5.77
2013-01-03
4
M
0
9375
0
D
2012-03-30
2021-03-30
Common Stock
9375
181575
D
Non-Qualified Stock Option (right to buy)
5.77
2013-01-03
4
M
0
40950
0
D
2012-03-30
2021-03-30
Common Stock
40950
140625
D
Non-Qualified Stock Option (right to buy)
6.37
2013-01-03
4
M
0
37500
0
D
2011-03-17
2020-03-17
Common Stock
37500
31250
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 $10.25. 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.
This transaction was executed in multiple trades at prices ranging from $10.25 to $10.64. 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.
This transaction was executed in multiple trades at prices ranging from $10.50 to $10.67. 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 vest quarterly thereafter.
Gerald Cook
2013-01-07