SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/29/2016 | 3. Issuer Name and Ticker or Trading Symbol Bravo Brio Restaurant Group, Inc. [ BBRG ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 09/01/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares, no par value per share | 1,568,484 | D(1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. 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. |
2. (Continued from Footnote 1) Each of the Reporting Persons disclaim beneficial ownership of the reported shares in excess of such Reporting Person's pecuniary interest in the shares. |
Remarks: |
This amendment is being filed solely to add the following reporting persons, each of which was identified in the original filing but did not have the EDGAR filer codes at the time the original filing was submitted: TAC Financial Corporation, The Adam Corporation/Group, and Donald A. Adam. No other changes are made to the original filing hereby. |
TAC CAPITAL LLC, /s/ James L. Wolfe, Vice President | 09/09/2016 | |
TAC FINANCIAL CORPORATION, /s/ James L. Wolfe, Vice President | 09/09/2016 | |
THE ADAM CORPORATION/GROUP, /s/ James L. Wolfe, President | 09/09/2016 | |
/s/ Donald A. Adam | 09/09/2016 | |
** 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 5 (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 Number. |