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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 | |
TAC Capital LLC ONE MOMENTUM BLVD., SUITE 1000 COLLEGE STATION, TX 77845 |
X | |||
TAC Financial Corp ONE MOMENTUM BLVD., SUITE 1000 COLLEGE STATION, TX 77845 |
X | |||
Adam Corporation/Group ONE MOMENTUM BLVD., SUITE 1000 COLLEGE STATION, TX 77845 |
X | |||
Adam Donald A ONE MOMENTUM BLVD., SUITE 1000 COLLEGE STATION, TX 77845 |
X |
TAC CAPITAL LLC, /s/ James L. Wolfe, Vice President | 09/14/2016 | |
**Signature of Reporting Person | Date | |
TAC FINANCIAL CORPORATION, /s/ James L. Wolfe, Vice President | 09/14/2016 | |
**Signature of Reporting Person | Date | |
THE ADAM CORPORATION/GROUP, /s/ James L. Wolfe, President | 09/14/2016 | |
**Signature of Reporting Person | Date | |
/s/ Donald A. Adam | 09/14/2016 | |
**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 price reported in Column 4 is a weighted average price. On September 12, 2016, these shares were purchased in multiple transactions at prices ranging from $4.8525 to $4.9025, inclusive. On September 13, 2016, these shares were purchased in multiple transactions at prices ranging from $4.8925 to $4.9025, inclusive. The Reporting Persons undertake to provide to Bravo Brio Restaurant Group, Inc., any security holder of Bravo Brio Restaurant Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. |
(2) | These shares are owned directly by TAC Capital, LLC, a Delaware limited liability company ("TAC Capital"). TAC Capital is wholly owned by TAC Financial Corporation, a Delaware corporation and the sole member of TAC Capital ("TAC Financial"). TAC Financial is wholly owned by The Adam Corporation/Group, a Texas corporation and the sole shareholder of TAC Financial ("TAC/G"). TAC/G is wholly owned by Donald A. Adam, a citizen of the United States of America and the sole shareholder of TAC/G (collectively, TAC Capital, TAC Financial, TAC/G and Mr. Adam, the "Reporting Persons" and each a "Reporting Person"). By virtue of the relationship described in the foregoing sentences, each of the Reporting Persons may be deemed to have shared voting and dispositive power over the reported shares and therefore may also be deemed to be the beneficial owner of these shares. |
(3) | (Continued from Footnote 2) Each of the Reporting Persons disclaim beneficial ownership of the reported shares in excess of such Reporting Person's pecuniary interest in the shares. |