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