0001209191-14-059134.txt : 20140923 0001209191-14-059134.hdr.sgml : 20140923 20140923092534 ACCESSION NUMBER: 0001209191-14-059134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140919 FILED AS OF DATE: 20140923 DATE AS OF CHANGE: 20140923 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Winczewski Anthony L CENTRAL INDEX KEY: 0001335846 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34082 FILM NUMBER: 141115220 MAIL ADDRESS: STREET 1: 200 S 6TH STREET SUITE 1300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-09-19 0 0001265572 KONA GRILL INC KONA 0001335846 Winczewski Anthony L 200 S. 6TH STREET, SUITE 1300 MINNEAPOLIS MN 55402 1 0 0 0 Common stock 2014-09-19 4 S 0 8000 17.83 D 0 D Common stock 2014-09-19 4 M 0 5000 3.39 A 5000 D Common stock 2014-09-19 4 S 0 5000 17.83 D 0 D Common stock 2014-09-19 4 M 0 1190 5.15 A 1190 D Common stock 2014-09-19 4 S 0 1190 17.83 D 0 D Common stock 2014-09-22 4 M 0 4100 5.15 A 4100 D Common stock 2014-09-22 4 S 0 4100 17.41 D 0 D Director Stock Option (Right to Buy) 3.39 2014-09-19 4 M 0 5000 3.39 D 2011-01-28 2015-01-28 Common Stock 5000 0 D Director Stock Option (Right to Buy) 5.15 2014-09-19 4 M 0 1190 51.50 D 2012-02-25 2016-02-24 Common Stock 1190 6310 D Director Stock Option (Right to Buy) 5.15 2014-09-22 4 M 0 4100 5.15 D 2012-02-25 2016-02-24 Common Stock 4100 2210 D Price reported is a weighted average price. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2014 at prices ranging from $17.40 to $18.49, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range specified above. Price reported is a weighted average price. These shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2014 at prices ranging from $17.13 to $17.71, inclusive. The reporting person undertakes to provide Kona Grill, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range specified above. 25% of the total number of options granted vested and became exercisable on each of April 28, 2010, July 28, 2010, October 28, 2010, and January 28, 2011. 25% of the total number of options granted vested and became exercisable on each of May 25, 2011, August 25, 2011, November 25, 2011, and February 25, 2012. /s/ Christi Hing as attorney-in-fact 2014-09-23