0001017712-12-000050.txt : 20121206 0001017712-12-000050.hdr.sgml : 20121206 20121206185306 ACCESSION NUMBER: 0001017712-12-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121204 FILED AS OF DATE: 20121206 DATE AS OF CHANGE: 20121206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUON ANDY CENTRAL INDEX KEY: 0001249763 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28784 FILM NUMBER: 121247831 MAIL ADDRESS: STREET 1: 18305 E SAN JOSE AVENUE CITY: CITY OF INDUSTRY STATE: CA ZIP: 91748 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 2012-12-04 0 0001017712 HOT TOPIC INC /CA/ HOTT 0001249763 SCHUON ANDY 18305 E. SAN JOSE AVE. CITY OF INDUSTRY CA 91748 1 0 0 0 Common Stock 2012-12-04 4 M 0 11495 6.02 A 53487 D Common Stock 2012-12-04 4 S 0 11495 9.8153 D 41992 D Common Stock 2012-12-04 4 M 0 1407 6.02 A 43399 D Common Stock 2012-12-04 4 S 0 1407 9.8285 D 41992 D Common Stock 2012-12-04 4 M 0 13099 7.54 A 55091 D Common Stock 2012-12-04 4 S 0 13099 9.8718 D 41992 D Common Stock 2012-12-04 4 M 0 17813 4.88 A 59805 D Common Stock 2012-12-04 4 S 0 17813 9.8201 D 41992 D Common Stock 2012-12-04 4 M 0 7085 7.09 A 49077 D Common Stock 2012-12-04 4 S 0 7085 9.7664 D 41992 D Non-Qualified Stock Option (right to buy) 4.88 2012-12-04 4 M 0 17813 0 D 2011-06-08 2020-06-08 Common Stock 17813 13856 D Non-Qualified Stock Option (right to buy) 6.02 2012-12-04 4 M 0 11495 0 D 2009-06-10 2018-06-10 Common Stock 11495 1407 D Non-Qualified Stock Option (right to buy) 6.02 2012-12-04 4 M 0 1407 0 D 2009-06-10 2018-06-10 Common Stock 1407 0 D Non-Qualified Stock Option (right to buy) 7.09 2012-12-04 4 M 0 7085 0 D 2012-06-07 2021-06-07 Common Stock 7085 15587 D Non-Qualified Stock Option (right to buy) 7.54 2012-12-04 4 M 0 13099 0 D 2010-06-09 2019-06-09 Common Stock 13099 3023 D This transaction was executed in multiple trades at prices ranging from $9.80 to $9.84. 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 $9.73 to $9.91. 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 $9.80 to $9.915. 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 $9.70 to $9.915. 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 $9.70 to $9.89. 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. 25% of the shares subject to the stock option vested one year from the date of grant, and 6.25% of the shares vested quarterly thereafter. The stock option is fully vested and exercisable. By: George Wehlitz, Attorney in Fact For: Andrew Schuon 2012-12-06