0001181431-12-035605.txt : 20120608 0001181431-12-035605.hdr.sgml : 20120608 20120608170404 ACCESSION NUMBER: 0001181431-12-035605 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120605 FILED AS OF DATE: 20120608 DATE AS OF CHANGE: 20120608 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: 12898522 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 230 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 rrd348329.xml FORM 4 X0305 4 2012-06-05 0 0001017712 HOT TOPIC INC /CA/ HOTT 0001349005 Becker Steven R 500 CRESCENT COURT, SUITE 230 DALLAS TX 75201 1 0 0 0 Common Stock 2012-06-05 4 A 0 2626 0 A 8971 D Common Stock 3511549 I See Footnotes Stock Option (right to buy) 9.52 2012-06-05 4 A 0 16350 0 A 2020-06-05 Common Stock 16350 16350 D This statement is filed by and on behalf of Steven R. Becker. Becker Drapkin Partners (QP), L.P. ("QP Fund"), Becker Drapkin Partners, L.P. ("LP Fund"), BD Partners I, L.P. ("BD Partners I"), Mr. Becker and a managed account (the "Managed Account") are the direct beneficial owners of the securities covered by this statement. Becker Drapkin Management, L.P. ("BD Management") is the general partner of, and the investment manager for, each of QP Fund, LP Fund and BD Partners I and provides investment advisory services for the Managed Account. BD Management may be deemed to beneficially own securities owned by QP Fund, LP Fund, BD Partners I and the Managed Account. BC Advisors, LLC ("BC Advisors") is the general partner of BD Management and may be deemed to beneficially own securities owned by BD Management. Matthew A. Drapkin and Mr. Becker are the co-managing members of BC Advisors and may be deemed to beneficially own securities owned by BC Advisors. The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. The reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. The reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. The reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. On June 5, 2012, the issuer granted to the reporting person 2,626 unvested shares of restricted stock, which are subject to forfeiture to the issuer under certain circumstances. Such forfeiture right will lapse on the earlier of (i) June 5, 2013 or (ii) the date of the next annual shareholders meeting of the issuer. Includes (a) 934,807 shares directly beneficially owned by QP Fund, (b) 132,443 shares directly beneficially owned by LP Fund, (c) 1,295,799 shares directly beneficially owned by BD Partners I and (d) 1,148,500 shares directly beneficially owned by the Managed Account. On June 5, 2012, the issuer granted to the reporting person 16,350 stock options, 25% of which vest and become exercisable on June 5, 2013. The remaining stock options vest and become exercisable in equal quarterly installments over three years from June 5, 2013. STEVEN R. BECKER, /s/ Ashley Sekimoto, Name: Ashley Sekimoto, Title: Attorney-in-Fact 2012-06-08