0001140361-11-021853.txt : 20110412
0001140361-11-021853.hdr.sgml : 20110412
20110412182009
ACCESSION NUMBER: 0001140361-11-021853
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110408
FILED AS OF DATE: 20110412
DATE AS OF CHANGE: 20110412
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Becker Steven R
CENTRAL INDEX KEY: 0001349005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28784
FILM NUMBER: 11755797
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 1111
CITY: DALLAS
STATE: TX
ZIP: 75201
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
doc1.xml
FORM 4
X0303
4
2011-04-08
0
0001017712
HOT TOPIC INC /CA/
HOTT
0001349005
Becker Steven R
300 CRESCENT COURT
SUITE 1111
DALLAS
TX
75201
1
0
0
0
Common Stock
2819
D
Common Stock
2011-04-08
4
P
0
250400
5.9616
A
2676349
I
See Footnotes
Common Stock
2011-04-11
4
P
0
46100
5.9503
A
2722449
I
See Footnotes
Common Stock
2011-04-11
4
P
0
33000
5.9700
A
2755449
I
See Footnotes
Common Stock
2011-04-11
4
P
0
43500
5.9350
A
2798949
I
See Footnotes
Common Stock
2011-04-11
4
P
0
178600
6.0000
A
2977549
I
See Footnotes
Common Stock
2011-04-11
4
P
0
19900
5.9508
A
2997449
I
See Footnotes
Common Stock
2011-04-12
4
P
0
40000
6.0000
A
3037449
I
See Footnotes
Common Stock
2011-04-12
4
P
0
101400
6.0006
A
3138849
I
See Footnotes
Represents 2,819 shares of common stock ("Common Stock"), no par value, of Hot Topic, Inc. (the "Issuer") granted to Steven R. Becker ("Mr. Becker") as restricted stock under the Issuer's 2006 Equity Incentive Plan. Pursuant to the Restricted Stock Bonus Agreement under which this grant was made, such shares are subject to forfeiture to the Issuer under certain circumstances, which forfeiture right will lapse on June 8, 2011, or the date of the next annual shareholders meeting of the Issuer, whichever comes first.
Represents shares of Common Stock directly beneficially owned by BD Partners I, L.P. ("BD Partners I") (currently 1,223,099 shares), Becker Drapkin Partners (QP), L.P. ("Becker Drapkin QP") (currently 811,657 shares), Becker Drapkin Partners, L.P. ("Becker Drapkin, L.P.") (currently 103,293 shares), and shares directly held in a managed account (the "Managed Account") (currently 1,000,800 shares). (continued in Footnote 3)
Mr. Becker may be deemed to beneficially own these shares as he is a co-managing member of BC Advisors, LLC which is the general partner of BD Management, L.P. ("BD Management") (of which Mr. Becker is a limited partner), and BD Management is the general partner of, and investment manager for, each of BD Partners I, Becker Drapkin QP and Becker Drapkin, L.P. and is the investment manager for the Managed Account. BD Management is the sole beneficial owner of the shares held in the Managed Account. Mr. Becker disclaims beneficial ownership in all such shares of Common Stock except to the extent of his pecuniary interest therein.
/s/ Andrew S. McLelland, attorney-in-fact
2011-04-12