0001193125-18-039105.txt : 20180212 0001193125-18-039105.hdr.sgml : 20180212 20180212092833 ACCESSION NUMBER: 0001193125-18-039105 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180212 DATE AS OF CHANGE: 20180212 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81402 FILM NUMBER: 18594194 BUSINESS ADDRESS: STREET 1: 7150 EAST CAMELBACK ROAD STREET 2: SUITE 333 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 BUSINESS PHONE: 4809228100 MAIL ADDRESS: STREET 1: 7150 EAST CAMELBACK ROAD STREET 2: SUITE 333 CITY: SCOTTSDALE STATE: AZ ZIP: 85251 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RBC Global Asset Management (U.S.) CENTRAL INDEX KEY: 0001179454 IRS NUMBER: 411460668 STATE OF INCORPORATION: MN FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 50 SOUTH SIXTH STREET STREET 2: SUITE 2350 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123767000 MAIL ADDRESS: STREET 1: 50 SOUTH SIXTH STREET STREET 2: SUITE 2350 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: VOYAGEUR ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20020807 SC 13G/A 1 d479571dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 3)

 

 

Kona Grill, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

50047H201

(CUSIP Number)

December 31, 2017

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ Rule 13d-1(b)

☐ Rule 13d-1(c)

☐ 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. 50047H201

 

  1.   

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

 

RBC Global Asset Management (U.S.) Inc.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Minnesota

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IA


Item 1.

 

  (a) Name of Issuer

Kona Grill, Inc.

 

  (b) Address of Issuer’s Principal Executive Offices

15059 North Scottsdale Road

Suite 300

Scottsdale, Arizona 85254

 

Item 2.

 

  (a) Name of Person Filing

RBC Global Asset Management (U.S.) Inc.

 

  (b) Address of Principal Business Office or, if none, Residence

50 South Sixth Street

Suite 2350

Minneapolis, Minnesota 55402

 

  (c) Citizenship

RBC Global Asset Management (U.S.) Inc. is incorporated under the laws of Minnesota

 

  (d) Title of Class of Securities

Common Stock

 

  (e) CUSIP Number

50047H201

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)      Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b)      Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c)      Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d)      Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
(e)      An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
(f)      An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
(g)      A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)      A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)      A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)      A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
(k)      Group, in accordance with §240.13d-1(b)(1)(ii)(J).


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: See Item 9 of the Cover Page.

 

  (b) Percent of class: See Item 11 of the Cover Page.

 

  (c) Number of shares as to which the person has:

 

  (i) Sole power to vote or to direct the vote

See Item 5 of the Cover Page.

 

  (ii) Shared power to vote or to direct the vote

See Item 6 of the Cover Page.

 

  (iii) Sole power to dispose or to direct the disposition of

See Item 7 of the Cover Page.

 

  (iv) Shared power to dispose or to direct the disposition of

See Item 8 of the Cover Page.

Instruction: For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

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 - ☒.

 

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

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

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.


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.

Dated: February 12, 2018

 

RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.

/s/ Carol Kuha

Signature

Carol Kuha / Chief Operating Officer

Name/Title