Statement of Changes in Beneficial Ownership (4)
12 July 2022 - 06:10AM
Edgar (US Regulatory)
|
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * SATTERFIELD THOMAS A
JR |
2. Issuer Name and Ticker or Trading
Symbol ARK RESTAURANTS CORP [ ARKR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
|
(Last)
(First)
(Middle)
15 COLLEY COVE DRIVE |
3. Date of Earliest Transaction (MM/DD/YYYY)
7/7/2022
|
|
(Street)
GULF BREEZE, FL 32561
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
7/7/2022 |
|
P |
|
13700 |
A |
$18.05 (1) |
97883 |
I |
By family members and related
entities (2) |
|
Common Stock |
7/8/2022 |
|
P |
|
5067 |
A |
$18.85 (3) |
102950 |
I |
By family members and related
entities (4) |
|
Common Stock |
7/8/2022 |
|
P |
|
7500 |
A |
$18.90 |
42500 |
I |
By Tomsat Investment & Trading Co.,
Inc. |
|
Common Stock |
7/8/2022 |
|
P |
|
16000 |
A |
$18.97 |
137000 |
I |
By A.G. Family L.P. (5) |
|
Common Stock |
7/8/2022 |
|
P |
|
24070 |
A |
$19.08 |
161070 |
I |
By Caldwell Mill Opportunity
Fund |
|
Common Stock |
7/8/2022 |
|
P |
|
6500 |
A |
$19.29 (6) |
43500 |
D (7) |
|
|
Common Stock |
|
|
|
|
|
|
|
1000 |
I |
By spouse |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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 |
| Explanation of
Responses: |
| (1) |
The price reported in Column
4 is a weighted average price. The shares were purchased in
multiple transactions at prices ranging from $17.50 to $18.64. The
reporting person undertakes to provide to 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 purchased at each separate price within the range set forth
in this footnote. |
| (2) |
The reporting person has
been granted limited powers of attorney to exercise voting and
dispositive power with respect to these securities. |
| (3) |
The price reported in Column
4 is a weighted average price. The shares were purchased in
multiple transactions at prices ranging from $18.76 to $18.90. The
reporting person undertakes to provide to 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 purchased at each separate price within the range set forth
in this footnote. |
| (4) |
The reporting person has
been granted limited powers of attorney to exercise voting and
dispositive power with respect to the securities held by the
following parties: the reporting person's father (22,500 shares);
the reporting person's brother (11,000 shares); the reporting
person's sister (25,000 shares); the reporting person's
brother-in-law (8,000 shares); Rita Phifer (10,000 shares); the
reporting person's second brother-in-law (4,000 shares); the
reporting person's nephew (2,000 shares); a trust for the reporting
person's granddaughter (1,450 shares); a trust for the reporting
person's second granddaughter (500 shares); the reporting person's
step-sister (2,500 shares); the reporting person's second
step-sister (2,000 shares); the reporting person's third
step-sister and spouse (7,000 shares); the reporting person's
fourth step-sister and spouse (4,000 shares); and the reporting
person's fifth step-sister and spouse (3,000 shares). |
| (5) |
The reporting person
controls the general partner of the partnership that owns the
reported securities. |
| (6) |
The price reported in Column
4 is a weighted average price. The shares were purchased in
multiple transactions at prices ranging from $19.24 to $19.30. The
reporting person undertakes to provide to 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 purchased at each separate price within the range set forth
in this footnote. |
| (7) |
Includes 7,500 shares held
jointly with the reporting person's spouse. |
Remarks:
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of
1934, as amended (the "Exchange Act"), this filing shall not be
deemed an admission that the reporting person is, for purposes of
Section 16 of the Exchange Act or otherwise, the beneficial owner
of any equity securities included herein in excess of the reporting
person's pecuniary interest in such equity securities. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
SATTERFIELD THOMAS A JR
15 COLLEY COVE DRIVE
GULF BREEZE, FL 32561 |
|
X |
|
|
Signatures
|
|
/s/ Thomas A. Satterfield, Jr. |
|
7/11/2022 |
| **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 control number. |
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