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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 | |
WEINSTEIN MICHAEL S C/O ARK RESTAURANTS CORP 85 FIFTH AVENUE, 14TH FLOOR NEW YORK, NY 10003 |
X | X | Chairman & CEO |
/s/ Michael Weinstein | 05/31/2013 | |
**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) | The Form 4, as originally filed on May 30, 2013, did not include the transaction in which the reporting person had previously transferred 10,000 shares to The Weinstein Foundation, an entity that the reporting person beneficially owns. Therefore, the original Form 4 incorrectly identified the direct beneficial ownership and indirect beneficial ownership of 10,000 shares. The Form 4, as amended by this Form 4/A, correctly reports such information as described in the footnotes below. |
(2) | The Weinstein Foundation is the selling party. Footnote 1 of the Form 4, as originally filed is being amended to state the reporting person (a) directly owns 1,036,249 shares of common stock; (b) is the indirect beneficial owner of an additional 2,400 shares of common stock held by his minor children; and (c) an additional 13,469 shares are held by The Weinstein Foundation, a private foundation of which Mr. Weinstein acts as trustee and as to which shares Mr. Weinstein has shared investment and shared voting power, which were sold as described above. This does not include the 91,500 shares issuable upon the exercise of options granted to Michael Weinstein that are currently exercisable. |
(3) | The Form 4, as originally filed on May 30, 2013, did not include this transaction. |
(4) | The Reporting person (a) directly owns 1,036,249 shares of common stock; (b) is the indirect beneficial owner of an additional 2,400 shares of common stock held by his minor children; and (c) an additional 7,420 shares are held by The Weinstein Foundation, a private foundation of which Mr. Weinstein acts as trustee and as to which shares Mr. Weinstein has shared investment and shared voting power, which were sold as described above. This does not include the 91,500 shares issuable upon the exercise of options granted to Michael Weinstein that are currently exercisable. |