0001104659-17-023095.txt : 20170412 0001104659-17-023095.hdr.sgml : 20170412 20170412161114 ACCESSION NUMBER: 0001104659-17-023095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170412 FILED AS OF DATE: 20170412 DATE AS OF CHANGE: 20170412 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: Chu James Michael CENTRAL INDEX KEY: 0001544498 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17758110 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: 17758111 MAIL ADDRESS: STREET 1: 599 WEST PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 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: 17758112 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: Catterton-Noodles, LLC CENTRAL INDEX KEY: 0001580004 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35987 FILM NUMBER: 17758113 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 2017-04-12 0 0001275158 NOODLES & Co NDLS 0001580004 Catterton-Noodles, LLC 599 WEST PUTNAM AVNUE GREENWICH CT 06830 0 0 1 0 0001555549 CP6 Management, L.L.C. 599 WEST PUTNAM AVNUE GREENWICH CT 06830 0 0 1 0 0001545446 Dahnke Scott Arnold 599 WEST PUTNAM AVNUE GREENWICH CT 06830 1 0 1 0 0001544498 Chu James Michael 599 WEST PUTNAM AVNUE GREENWICH CT 06830 0 0 1 0 Class A Common Stock 2017-04-12 4 C 0 4252873 A 11087757 D Series A Convertible Preferred Stock 2017-04-12 4 C 0 18500 D 2017-02-09 Class A Common Stock 4252873 0 D Pursuant to its rights under the Securities Purchase Agreement by and among the Company and Catterton-Noodles, LLC ("Catterton Noodles"), the Company issued a conversion notice causing all shares of Series A Convertible Preferred Stock ("Preferred Stock") held by Catterton Noodles to be automatically converted into shares of the Company's Class A Common Stock, effective April 12, 2017. Each share of Preferred Stock is convertible at a conversion price of $4.35, or approximately 229.8850 shares of Class A Common Stock per share of Preferred Stock. The securities reported on this Form 4 are held of record by Catterton Noodles. CP6 Management, L.L.C. ("CP6") is the manager of Catterton Noodles. The management of CP6 is controlled by a management board. J. Michael Chu and Scott A. Dahnke are the members of the management board of CP6. The shares of Preferred Stock have no expiration date. Not applicable. (J. Michael Chu) 2017-04-12 (Scott A. Dahnke) 2017-04-12 (Authorized Person for CP6 Management, L.L.C.) 2017-04-12 (Authorized Person for Catterton-Noodles, LLC) 2017-04-12