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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EINHORN DAVID 140 EAST 45TH STREET FLOOR 24 NEW YORK, NY 10017 |
X | See Footnotes (1)-(9) | ||
GREENLIGHT CAPITAL INC 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
GREENLIGHT CAPITAL QUALIFIED, L.P. 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
GREENLIGHT CAPITAL LLC 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
GREENLIGHT CAPITAL L P 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
DME Advisors, LP 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
DME Advisors GP, L.L.C. 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
DME Capital Management, LP 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
DME Management GP, LLC 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X | |||
Greenlight Capital Offshore Partners 140 EAST 45TH STREET 24TH FLOOR NEW YORK, NY 10017 |
X |
/s/ Daniel Roitman, attorney-in-fact for David Einhorn | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, L.L.C. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, Inc. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, L.L.C., General Partner of Greenlight Capital, L.P. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, L.L.C., General Partner of Greenlight Capital Qualified, L.P. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of Greenlight Capital, Inc., Investment Manager of Greenlight Capital Offshore Partners | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of DME Advisors GP, L.L.C., General Partner of DME Advisors, L.P. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of DME Capital Management, L.P. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of DME Advisors GP, L.L.C. | 11/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Daniel Roitman, Chief Operating Officer of DME Management GP, LLC | 11/18/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | David Einhorn is the senior managing member of Greenlight Capital, L.L.C. ("Greenlight LLC"), DME Advisors GP, LLC ("DME GP") and DME Management GP, LLC ("DME Management GP"), and the president of Greenlight Capital, Inc. ("Greenlight Inc."). DME GP is the general partner of DME Advisors, LP ("DME") and DME Capital Management, LP ("DME CM"). |
(2) | One or more of the foregoing entities control the disposition and voting of shares of common stock, par value $0.001 per share (the "Common Stock"), of Einstein Noah Restaurant Group, Inc. ("Einstein Noah"), owned by one or more of the following entities: Greenlight Capital, L.P. ("Greenlight Fund"), Greenlight Capital Qualified, L.P. ("Greenlight Qualified"), Greenlight Capital Offshore Partners ("Greenlight Offshore"), Greenlight Capital (Gold), LP ("Greenlight Gold"), Greenlight Capital Offshore Master (Gold), Ltd. ("Greenlight Gold Offshore") and an account managed by DME (the "Managed Account," and, together with Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore, Greenlight LLC, Greenlight Inc., DME GP, DME, DME Management GP and DME CM, the "Greenlight Parties"), in the respective capacities and quantities further described in the footnotes below. |
(3) | Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Mr. Einhorn and the Greenlight Parties disclaim beneficial ownership of the Common Stock except to the extent of their respective pecuniary interests therein. The filing of this Form 4 shall not be construed as an admission that David Einhorn or any of the Greenlight Parties is or was for the purposes of Section 16(a) of the Act, or otherwise, the beneficial owner of any of the shares of Common Stock owned by Greenlight Fund, Greenlight Qualified, Greenlight Offshore, Greenlight Gold, Greenlight Gold Offshore, or the Managed Account. |
(4) | Greenlight LLC controls the voting and disposition of 1,663,830 shares of Common Stock through the account of Greenlight Qualified, of which Greenlight LLC is the general partner. As the senior managing member of Greenlight LLC, Mr. Einhorn may be deemed to beneficially own the shares held by Greenlight Qualified. |
(5) | Greenlight LLC controls the voting and disposition of 300,326 shares of Common Stock through the account of Greenlight Fund, of which Greenlight LLC is the general partner. As the senior managing member of Greenlight LLC, Mr. Einhorn may be deemed to beneficially own the shares held by Greenlight Fund. |
(6) | Greenlight Inc. controls the voting and disposition of 2,912,455 shares of Common Stock held by Greenlight Offshore. Greenlight Inc. is the investment manager of Greenlight Offshore. As the president and director of Greenlight Inc., Mr. Einhorn may be deemed to beneficially own the shares held by Greenlight Offshore. |
(7) | DME controls the voting and disposition of 750,000 shares of Common Stock through the Managed Account, for which DME serves as the investment manager. As the senior managing member of DME GP, which is the general partner of DME, Mr. Einhorn may be deemed to beneficially own the shares held by the Managed Account. |
(8) | DME Management GP controls the voting and disposition of 794,376 shares of Common Stock through the account of Greenlight Gold, of which DME Management GP is the general partner. As the senior managing member of DME Management GP, Mr. Einhorn may be deemed to beneficially own the shares held by Greenlight Gold. |
(9) | DME CM controls the voting and disposition of 312,482 shares of Common Stock through the account of Greenlight Gold Offshore, of which DME CM is the investment manager. As the senior managing member of DME GP, which is the general partner of DME CM, Mr. Einhorn may be deemed to beneficially own the shares held by Greenlight Gold Offshore. |
Remarks: Power of Attorney executed by David Einhorn, authorizing Harry Brandler and Daniel Roitman to sign and file this report, which was filed as Exhibit 99.2 to the Schedule 13G relating to NCR Corporation filed with the Securities and Exchange Commission on May 24, 2010, is incorporated herein by reference. |