0001104659-17-007860.txt : 20170209 0001104659-17-007860.hdr.sgml : 20170209 20170209170139 ACCESSION NUMBER: 0001104659-17-007860 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170209 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOODLES & Co CENTRAL INDEX KEY: 0001275158 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 841303469 FISCAL YEAR END: 0103 BUSINESS ADDRESS: STREET 1: 520 ZANG ST., SUITE D CITY: BROOMFIELD STATE: CO ZIP: 80021 BUSINESS PHONE: 7202141921 MAIL ADDRESS: STREET 1: 520 ZANG ST., SUITE D CITY: BROOMFIELD STATE: CO ZIP: 80021 FORMER COMPANY: FORMER CONFORMED NAME: NOODLES & CO DATE OF NAME CHANGE: 20040102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CP6 Management, L.L.C. CENTRAL INDEX KEY: 0001555549 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17588352 BUSINESS ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-629-4901 MAIL ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chu James Michael CENTRAL INDEX KEY: 0001544498 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17588353 MAIL ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dahnke Scott Arnold CENTRAL INDEX KEY: 0001545446 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17588354 MAIL ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Catterton-Noodles, LLC CENTRAL INDEX KEY: 0001580004 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17588355 BUSINESS ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE STREET 2: SUITE 200 CITY: GREENWICH STATE: CT ZIP: 06831 BUSINESS PHONE: (203) 629-4901 MAIL ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE STREET 2: SUITE 200 CITY: GREENWICH STATE: CT ZIP: 06831 4 1 a4.xml 4 X0306 4 2017-02-09 0 0001275158 NOODLES & Co NDLS 0001580004 Catterton-Noodles, LLC 599 WEST PUTNAM AVENUE GREENWICH CT 06830 0 0 1 0 0001545446 Dahnke Scott Arnold 599 WEST PUTNAM AVENUE GREENWICH CT 06830 1 0 1 0 0001544498 Chu James Michael 599 WEST PUTNAM AVENUE GREENWICH CT 06830 0 0 1 0 0001555549 CP6 Management, L.L.C. 599 WEST PUTNAM AVENUE GREENWICH CT 06830 0 0 1 0 Series A Convertible Preferred Stock 2017-02-09 4 P 0 18500 1000 A 2017-02-09 Class A Common Stock 4252873 4252873 I Catterton-Noodles, LLC Warrants to Purchase Class A Common Stock 4.35 2017-02-09 4 P 0 1913792 0 A 2017-08-09 2022-02-09 Class A Common Stock 1913792 1913792 I Catterton-Noodles, LLC Each share of Series A Convertible Preferred Stock is convertible at any time at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Series A Convertible Preferred Stock. On February 8, 2017, Noodles & Company and Catterton-Noodles, LLC ("Catterton Noodles") entered into a Securities Purchase Agreement, pursuant to which Catterton Noodles acquired the securities reported on this Form 4. The shares of Series A Convertible Preferred Stock have no expiration date. The securities reported on this Form 4 are held of record by Catterton Noodles. CP Management 6, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a managing board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6. /s/ J. Michael Chu 2017-02-09 /s/ Scott A. Dahnke 2017-02-09 /s/ Scott A. Dahnke (Authorized Person for CP6 Management, L.L.C.) 2017-02-09 /s/ Scott A. Dahnke (Authorized Person for Catterton-Noodles, LLC) 2017-02-09