| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Chanticleer Holdings, Inc. [ BURG ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 12/13/2017 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 01/18/2018 | W | V | 10,000(1) | D | $0 | 0 | I | By Beverly Sue Spitcaufsky Trust | |
| Common Stock | 01/18/2018 | W | V | 5,000(1) | A | $0 | 5,000 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 | |
| Common Stock | 01/18/2018 | W | V | 5,000(1) | A | $0 | 16,738 | I | By Larry S. Spitcaufsky Trust | |
| Common Stock | 12/13/2017 | A | 4,689(3) | A | $0 | 74,689 | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/17/2018 | S | 2,000 | D | $3.35 | 102,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/21/2018 | S | 1,000 | D | $3.19 | 101,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/21/2018 | S | 750 | D | $3.25 | 100,939(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/25/2018 | S | 475 | D | $3.11 | 100,464(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/29/2018 | S | 775 | D | $3.02 | 99,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/29/2018 | S | 448 | D | $3.07 | 99,241(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/29/2018 | S | 552 | D | $3.08 | 98,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/30/2018 | S | 1,000 | D | $3.06 | 97,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 05/31/2018 | S | 1,000 | D | $3.03 | 96,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/04/2018 | S | 1,000 | D | $3.05 | 95,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/04/2018 | S | 1,000 | D | $3.04 | 94,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/04/2018 | S | 1,000 | D | $3.02 | 93,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 700 | D | $3.21 | 92,989(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 1,300 | D | $3.18 | 91,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 1,000 | D | $3.16 | 90,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 1,000 | D | $3.14 | 89,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 1,000 | D | $3.12 | 88,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 06/05/2018 | S | 1,000 | D | $3.1 | 87,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Common Stock | 11/19/2018 | P | 1,262 | A | $1.92 | 18,000 | I | By Larry S. Spitcaufsky Trust | ||
| Common Stock | 11/20/2018 | P | 1,311 | A | $1.84 | 19,311 | I | By Larry S. Spitcaufsky Trust | ||
| Common Stock | 11/26/2018 | P | 689 | A | $1.83 | 20,000 | I | By Larry S. Spitcaufsky Trust | ||
| Common Stock | 11/19/2018 | P | 500 | A | $1.9 | 5,500 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 | ||
| Common Stock | 11/23/2018 | P | 406 | A | $1.82 | 5,906 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 | ||
| Common Stock | 12/06/2018 | P | 2,094 | A | $1.76 | 8,000 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 | ||
| Common Stock | 12/07/2018 | P | 2,000 | A | $1.84 | 89,689(2) | I | By Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88 | ||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 | ||||||||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 1,417 | 01/31/2014 | 01/01/2019 | Common Stock | 1,417 | $55 | 0 | I | By Beverly Sue Spitcaufsky Trust(1) | ||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 1,417 | 01/31/2014 | 01/01/2019 | Common Stock | 1,417 | $70 | 0 | I | By Beverly Sue Spitcaufsky Trust(1) | ||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 709 | 01/31/2014 | 01/01/2019 | Common Stock | 709 | $55 | 709 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987(1) | ||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 709 | 01/31/2014 | 01/01/2019 | Common Stock | 709 | $70 | 709 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987(1) | ||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 708 | 01/31/2014 | 01/01/2019 | Common Stock | 708 | $55 | 2,125 | I | By Larry S. Spitcaufsky Trust(1) | ||
| Warrants (right to buy) | $0 | 01/18/2018 | W | V | 708 | 01/31/2014 | 01/01/2019 | Common Stock | 708 | $70 | 2,125 | I | By Larry S. Spitcaufsky Trust(1) | ||
| Explanation of Responses: |
| 1. The beneficiary of the Beverly Sue Spitcaufsky Trust passed away in December 2017, and the shares of common stock of the Issuer and the warrants to purchase shares of common stock of the Issuer owned by the Beverly Sue Spitcaufsky Trust were transferred, in equal parts, to Larry S. Spitcaufsky Trust and Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 on January 18, 2018. |
| 2. This amount includes the 30,000 shares of common stock owned by Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 reported on the Form 4 filed by the Reporting Person on May 11, 2018. The Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 is the same trust as the Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88, though using a differently styled name. The amount indicated shows the cumulative shares owned by the trust. |
| 3. Shares acquired pursuant to the Issuer's director compensation policy, which permits directors to elect to receive shares of common stock of the Issuer in lieu of receiving their quarterly retainer in cash. |
| /s/ Larry Spitcaufsky | 12/10/2018 | |
| ** 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 Number. | ||
