FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/31/2014 |
3. Issuer Name and Ticker or Trading Symbol
Chanticleer Holdings, Inc. [ HOTR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 451,292 | I | By Hooters of Oregon Partners, L.L.C.(1) |
Common Stock | 228,980 | I | By Hooters of Washington, L.L.C.(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 225,646 | $5.5 | I | By Hooters of Oregon Partners, L.L.C.(1) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 225,646 | $7 | I | By Hooters of Oregon Partners, L.L.C.(1) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 114,490 | $5.5 | I | By Hooters of Washington, L.L.C.(2) |
Stock Purchase Warrant | 02/01/2014 | 02/01/2019 | Common Stock | 114,490 | $7 | I | By Hooters of Washington, L.L.C.(2) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Larry Spitcaufsky is the manager of Hooters of Oregon Partners, L.L.C., which directly owns 451,292 shares of Common Stock and 451,292 Stock Purchase Warrants. As a result of being the manager of Hooters of Oregon Partners, L.L.C., Larry Spitcaufsky indirectly beneficially owns 451,292 shares of Common Stock and 451,292 Stock Purchase Warrants. |
2. Larry Spitcaufsky is the manager of Hooters of Washington, L.L.C., which directly owns 228,980 shares of Common Stock and 228,980 Stock Purchase Warrants. As a result of being the manager of Hooters of Washington, L.L.C., Larry Spitcaufsky indirectly beneficially owns 228,980 shares of Common Stock and 228,980 Stock Purchase Warrants. |
Remarks: |
/s/ Larry Spitcaufsky | 02/10/2014 | |
/s/ Larry Spitcaufsky, Hooters of Oregon Partners, L.L.C. | 02/10/2014 | |
/s/ Larry Spitcaufsky, Hooters of Washington, L.L.C. | 02/10/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |