-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BlCDPJR/ts6BpyutdmrFJPbFB5RiyomqJtvHPjHhOgaVQD5fSRTRFmArNWh/kAHq T/iJvCI4+YHlsKJh46nrEA== 0000950153-06-000291.txt : 20060209 0000950153-06-000291.hdr.sgml : 20060209 20060209130443 ACCESSION NUMBER: 0000950153-06-000291 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060209 DATE AS OF CHANGE: 20060209 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Jundt Marcus E CENTRAL INDEX KEY: 0001335767 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: (952) 541-0677 MAIL ADDRESS: STREET 1: 301 CARLSON PARKWAY SUITE 120 CITY: MINNETONKA STATE: MN ZIP: 55305 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KONA GRILL INC CENTRAL INDEX KEY: 0001265572 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812] IRS NUMBER: 200216690 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81402 FILM NUMBER: 06591872 BUSINESS ADDRESS: STREET 1: 7150 EAST CAMELBACK ROAD STREET 2: SUITE 220 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 BUSINESS PHONE: 4809228100 MAIL ADDRESS: STREET 1: 7150 EAST CAMELBACK ROAD STREET 2: SUITE 220 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 SC 13G 1 p71849sc13g.htm SC 13G sc13g
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULES 13d-1(b), (c), and (d) and AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b)
(Amendment No. ____)*
Kona Grill, Inc.
 
(Name of Issuer)
COMMON STOCK
 
(Title of Class of Securities)
50047H 20 1
 
(CUSIP Number)
August 15, 2005
 
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
          o Rule 13d-1(b)
          o Rule 13d-1(c)
          þ Rule 13d-1(d)
 
*  The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

TABLE OF CONTENTS

Item 1
Item 2
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
Item 4. Ownership
Item 5. Ownership of Five Percent or Less of a Class
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
Item 8. Identification and Classification of Members of the Group
Item 9. Notice of Dissolution of Group
Item 10. Certifications
SIGNATURE

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CUSIP No. 50047H 20 1
  13G   Page 2 of 5 Pages
                     
1.   NAME OF REPORTING PERSONS
    I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITY ONLY)
 
                    
    Marcus E. Jundt
 
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP   (a)       o
 
                  (b)       o
 
                    
 
3.   SEC USE ONLY
 
                    
 
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
    United States
 
                    
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
      5.     SOLE VOTING POWER
195,134(1)		    
         
 
      6.     SHARED VOTING POWER    
 
              710,800(2)    
         
 
      7.     SOLE DISPOSITIVE POWER    
 
              195,134(1)    
         
 
      8.     SHARED DISPOSITIVE POWER    
 
              710,800(2)    
         
 
                    
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    905,934(1)(2)(3)
 
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
    (SEE INSTRUCTIONS) o
 
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
    15.2%
 
12.   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
    IN
 
(1) Includes 60,000 shares issuable upon the exercise of stock options.
(2) Includes 10,800 shares held in trust by the Reporting Person’s children, of which the Reporting Person is not a trustee; 500,000 shares owned by Kona MN, LLC (“Kona MN”), of which the Reporting Person is a control person; and 200,000 shares issuable upon the exercise of warrants owned by Kona MN.
(3) Does not include 540,731 shares beneficially owned by the Mary Joann Jundt Irrevocable Trust, of which Mary Joann Jundt, the mother of the Reporting Person, is trustee, and 303,333 shares held by James R. Jundt, the father of the Reporting Person.

 

Table of Contents

         
CUSIP No. 50047H 20 1
  13G   Page 3 of 5 Pages
Item 1.
         
 
  (a)   Name of Issuer: Kona Grill, Inc.
 
        
 
  (b)   Address of Issuer’s Principal Executive Offices:
 
            7150 E. Camelback Road, Suite 220
 
            Phoenix, Arizona 85251
Item 2.
         
 
  (a)   Name of Person Filing: Marcus E. Jundt
 
        
 
  (b)   Address of Principal Business Office or, if none, Residence:
 
            301 Carlson Parkway, Suite 120
 
            Minnetonka, Minnesota 55305
 
        
 
  (c)   Citizenship or Place of Organization: United States
 
        
 
  (d)   Title of Class of Securities: Common Stock
 
        
 
  (e)   CUSIP Number: 50047H 20 1
     
Item 3.
  If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
             
 
  (a)   o   Broker or dealer registered under Section 15 of the Exchange Act.
 
            
 
  (b)   o   Bank as defined in Section 3(a)(6) of the Exchange Act.
 
            
 
  (c)   o   Insurance company as defined in Section 3(a)(19) of the Exchange Act.
 
            
 
  (d)   o   Investment company registered under Section 8 of the Investment Company Act.
 
            
 
  (e)   o   An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
 
            
 
  (f)   o   An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
 
            
 
  (g)   o   A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
 
            
 
  (h)   o   A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
 
            
 
  (i)   o   A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
 
            
 
  (j)   o   Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

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CUSIP No. 50047H 20 1
  13G   Page 4 of 5 Pages
Item 4. Ownership.
     Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
  (a)   Amount beneficially owned: 905,934(1)(2)(3)
 
  (b)   Percent of class: 15.3%
 
  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or to direct the vote: 195,134(1)
 
  (ii)   Shared power to vote or to direct the vote: 710,800(2)
 
  (iii)   Sole power to dispose or to direct the disposition of: 195,134(1)
 
  (iv)   Shared power to dispose or to direct the disposition of: 710,800(2)
Item 5. Ownership of Five Percent or Less of a Class.
     If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
     Not Applicable.
     
Item 7.
  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
     Not Applicable.
Item 8. Identification and Classification of Members of the Group.
     Not Applicable.
Item 9. Notice of Dissolution of Group.
     Not Applicable.
Item 10. Certifications.
     Not Applicable.
(1) Includes 60,000 shares issuable upon the exercise of stock options.
(2) Includes 10,800 shares held in trust by the Reporting Person’s children, of which the Reporting Person is not a trustee; 500,000 shares owned by Kona MN, LLC (“Kona MN”), of which the Reporting Person is a control person; and 200,000 shares issuable upon the exercise of warrants owned by Kona MN.
(3) Does not include 540,731 shares beneficially owned by the Mary Joann Jundt Irrevocable Trust, of which Mary Joann Jundt, the mother of the Reporting Person, is trustee, and 303,333 shares held by James R. Jundt, the father of the Reporting Person.

 

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CUSIP No. 50047H 20 1
  13G   Page 5 of 5 Pages
SIGNATURE
     After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
       
 
  February 8, 2006
 
   
 
  (Date)
 
    
 
  /s/ Marcus E. Jundt
 
   
 
  (Signature)
 
    
 
  Marcus E. Jundt
 
   
 
  (Name/Title)
Attention: Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001).

 

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