SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SPITCAUFSKY LARRY

(Last) (First) (Middle)
7621 LITTLE AVENUE, SUITE 414

(Street)
CHARLOTTE NC 28226

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Chanticleer Holdings, Inc. [ BURG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/13/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/18/2018 W V 10,000(1) D $0 0 I By Beverly Sue Spitcaufsky Trust
Common Stock 01/18/2018 W V 5,000(1) A $0 5,000 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987
Common Stock 01/18/2018 W V 5,000(1) A $0 16,738 I By Larry S. Spitcaufsky Trust
Common Stock 12/13/2017 A 4,689(3) A $0 74,689 I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/17/2018 S 2,000 D $3.35 102,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/21/2018 S 1,000 D $3.19 101,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/21/2018 S 750 D $3.25 100,939(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/25/2018 S 475 D $3.11 100,464(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/29/2018 S 775 D $3.02 99,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/29/2018 S 448 D $3.07 99,241(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/29/2018 S 552 D $3.08 98,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/30/2018 S 1,000 D $3.06 97,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 05/31/2018 S 1,000 D $3.03 96,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/04/2018 S 1,000 D $3.05 95,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/04/2018 S 1,000 D $3.04 94,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/04/2018 S 1,000 D $3.02 93,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 700 D $3.21 92,989(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 1,300 D $3.18 91,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 1,000 D $3.16 90,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 1,000 D $3.14 89,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 1,000 D $3.12 88,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 06/05/2018 S 1,000 D $3.1 87,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Common Stock 11/19/2018 P 1,262 A $1.92 18,000 I By Larry S. Spitcaufsky Trust
Common Stock 11/20/2018 P 1,311 A $1.84 19,311 I By Larry S. Spitcaufsky Trust
Common Stock 11/26/2018 P 689 A $1.83 20,000 I By Larry S. Spitcaufsky Trust
Common Stock 11/19/2018 P 500 A $1.9 5,500 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987
Common Stock 11/23/2018 P 406 A $1.82 5,906 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987
Common Stock 12/06/2018 P 2,094 A $1.76 8,000 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987
Common Stock 12/07/2018 P 2,000 A $1.84 89,689(2) I By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants (right to buy) $0 01/18/2018 W V 1,417 01/31/2014 01/01/2019 Common Stock 1,417 $55 0 I By Beverly Sue Spitcaufsky Trust(1)
Warrants (right to buy) $0 01/18/2018 W V 1,417 01/31/2014 01/01/2019 Common Stock 1,417 $70 0 I By Beverly Sue Spitcaufsky Trust(1)
Warrants (right to buy) $0 01/18/2018 W V 709 01/31/2014 01/01/2019 Common Stock 709 $55 709 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987(1)
Warrants (right to buy) $0 01/18/2018 W V 709 01/31/2014 01/01/2019 Common Stock 709 $70 709 I By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987(1)
Warrants (right to buy) $0 01/18/2018 W V 708 01/31/2014 01/01/2019 Common Stock 708 $55 2,125 I By Larry S. Spitcaufsky Trust(1)
Warrants (right to buy) $0 01/18/2018 W V 708 01/31/2014 01/01/2019 Common Stock 708 $70 2,125 I By Larry S. Spitcaufsky Trust(1)
Explanation of Responses:
1. The beneficiary of the Beverly Sue Spitcaufsky Trust passed away in December 2017, and the shares of common stock of the Issuer and the warrants to purchase shares of common stock of the Issuer owned by the Beverly Sue Spitcaufsky Trust were transferred, in equal parts, to Larry S. Spitcaufsky Trust and Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 on January 18, 2018.
2. This amount includes the 30,000 shares of common stock owned by Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 reported on the Form 4 filed by the Reporting Person on May 11, 2018. The Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 is the same trust as the Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88, though using a differently styled name. The amount indicated shows the cumulative shares owned by the trust.
3. Shares acquired pursuant to the Issuer's director compensation policy, which permits directors to elect to receive shares of common stock of the Issuer in lieu of receiving their quarterly retainer in cash.
/s/ Larry Spitcaufsky 12/10/2018
** 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 4 (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.