-----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, IQKOTJtxOGM52NWr1//5HYTh4pJaDyyxD2yZp7nhnigkAFPJzNO70Noq5kR8fmfI EgvcWs0ReU4yfS6WaVwAYg== 0001362310-07-000129.txt : 20070212 0001362310-07-000129.hdr.sgml : 20070212 20070212060830 ACCESSION NUMBER: 0001362310-07-000129 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070212 DATE AS OF CHANGE: 20070212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Hauser Richard J CENTRAL INDEX KEY: 0001335723 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: (612) 313-0125 MAIL ADDRESS: STREET 1: 50 S 6TH STREET SUITE 1480 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81402 FILM NUMBER: 07600249 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/A 1 c70201sc13gza.htm SC 13G/A sc13gza
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

Kona Grill, Inc.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
50047H 20 1
(CUSIP Number)
December 31, 2006
(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 (“Act”) 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).

 
 

 

 

 

                     
CUSIP No.
  
50047H 20 1 
   Page  
2 
   of   
5 

 

           
1   NAMES OF REPORTING PERSONS:
Richard J. Hauser
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  United States
       
  5   SOLE VOTING POWER:
     
NUMBER OF   16,506(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   572,666(2)
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   16,506(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    572,666(2)
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  589,172(1)(2)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  9.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN
(1) Includes 14,800 shares issuable upon the exercise of stock options.
(2) Includes 172,666 shares owned by the Reporting Person’s spouse; 200,000 shares owned by Kona MN, LLC (“Kona MN”), of which the Reporting Person is a control person; and 200,000 shares issuable upon exercise of warrants owned by Kona MN.

 

 

 

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: Richard J. Hauser
 
  (b)   Address of Principal Business Office or, if none, Residence:
50 S. 6th Street, Suite 1480
Minneapolis, Minnesota 55402
  (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).

 

 

 

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: 589,172(1)(2)
 
  (b)   Percent of class: 9.7%
 
  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or to direct the vote: 16,506(1)
 
  (ii)   Shared power to vote or to direct the vote: 572,666(2)
 
  (iii)   Sole power to dispose or to direct the disposition of: 16,506(1)
 
  (iv)   Shared power to dispose or to direct the disposition of: 572,666(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 14,800 shares issuable upon the exercise of stock options.
(2) Includes 172,666 shares owned by the Reporting Person’s spouse; 200,000 shares owned by Kona MN, LLC (“Kona MN”), of which the Reporting Person is a control person; and 200,000 shares issuable upon exercise of warrants owned by Kona MN.

 

 

 

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 9, 2007
 
    
 
  (Date)
 
    
 
    
 
  /s/Richard J. Hauser
 
   
 
   
 
  (Signature)
 
    
 
    
 
  Richard J. Hauser
 
   
 
  (Name/Title)
Attention: Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001).

 

 

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