Form 4 for CAVA CAVA GROUP, INC.
Accepted 2023-06-22 00:00:00 ET · period of report 2023-06-20 · accession 0001209191-23-039075 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-06-22 | 2023-06-20 | CAVA | SWaN & Legend Fund 3 LP | 10% | C - Cnv Deriv | — | +7.11M | 1.83M | New | — |
| DM | 2023-06-22 | 2023-06-20 | CAVA | SWaN & Legend Fund 3 LP | 10% | C - Cnv Deriv | — | +4.11M | 1.59M | New | — |
| DM | 2023-06-22 | 2023-06-20 | CAVA | SWaN & Legend Fund 3 LP | 10% | C - Cnv Deriv | $0.00 | -4.11M | 0 | -100% | $0 |
| DMI | 2023-06-22 | 2023-06-20 | CAVA | SWaN & Legend Fund 3 LP | 10% | C - Cnv Deriv | $0.00 | -7.11M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-06-20 | C | A | 1,323,918 | — | 1,323,918 | I By SWaN & Legend Fund 3, LP | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. (F6) The shares are held directly by SWaN & Legend Fund 3, LP ("SL 3"). SWaN & Legend Fund 3 GP, LLC is the manager of SL 3 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. |
| 2 | Common | Common Stock | 2023-06-20 | C | A | 2,754,228 | — | 2,754,228 | I | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 3 | Common | Common Stock | 2023-06-20 | C | A | 1,195,854 | — | 1,195,854 | I By SWaN & Legend Fund 4, LP | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. (F7) The shares are held directly by SWaN & Legend Fund 4, LP ("SL 4"). SWaN & Legend Fund 4 GP, LLC is the manager of SL 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. |
| 4 | Common | Common Stock | 2023-06-20 | C | A | 1,831,743 | — | 1,831,743 | I | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 5 | Common | Common Stock | 2023-06-20 | C | A | 2,514,249 | — | 2,514,249 | D By SWaN Hospitality 4 LLC | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. (F3) The shares are held directly by SWaN Hospitality 2 LLC. (F5) The shares are held directly by SWaN Hospitality 4 LLC ("SWaN 4"). SWaN 3 GP is the manager of SWaN 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. |
| 6 | Common | Common Stock | 2023-06-20 | C | A | 1,594,938 | — | 1,594,938 | D By SWaN Hospitality 3 LLC | — | — | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. (F2) The shares are held directly by SWaN Hospitality LLC. (F4) The shares are held directly by SWaN Hospitality 3 LLC ("SWaN 3"). SWaN Hospitality 3 GP LLC ("SWaN 3 GP" ) is the manager of SWaN 3 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. |
| 7 | Derivative | Series C Preferred Stock | 2023-06-20 | C | D | 198,912 | $0.00 | 0 | D By SWaN & Legend Fund 4, LP | — · — to — | 198,912 Common Stock | (F2) The shares are held directly by SWaN Hospitality LLC. (F7) The shares are held directly by SWaN & Legend Fund 4, LP ("SL 4"). SWaN & Legend Fund 4 GP, LLC is the manager of SL 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 8 | Derivative | Series C Preferred Stock | 2023-06-20 | C | D | 738,345 | $0.00 | 0 | I By SWaN Hospitality 3 LLC | — · — to — | 738,345 Common Stock | (F4) The shares are held directly by SWaN Hospitality 3 LLC ("SWaN 3"). SWaN Hospitality 3 GP LLC ("SWaN 3 GP" ) is the manager of SWaN 3 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 9 | Derivative | Series D Preferred Stock | 2023-06-20 | C | D | 176,979 | $0.00 | 0 | D By SWaN Hospitality 4 LLC | — · — to — | 176,979 Common Stock | (F2) The shares are held directly by SWaN Hospitality LLC. (F5) The shares are held directly by SWaN Hospitality 4 LLC ("SWaN 4"). SWaN 3 GP is the manager of SWaN 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 10 | Derivative | Series D Preferred Stock | 2023-06-20 | C | D | 435,915 | $0.00 | 0 | I | — · — to — | 435,915 Common Stock | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 11 | Derivative | Series E Preferred Stock | 2023-06-20 | C | D | 2,514,249 | $0.00 | 0 | D | — · — to — | 2,514,249 Common Stock | (F3) The shares are held directly by SWaN Hospitality 2 LLC. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 12 | Derivative | Series E Preferred Stock | 2023-06-20 | C | D | 657,483 | $0.00 | 0 | I | — · — to — | 657,483 Common Stock | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 13 | Derivative | Series E Preferred Stock | 2023-06-20 | C | D | 1,323,918 | $0.00 | 0 | I | — · — to — | 1,323,918 Common Stock | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 14 | Derivative | Series F Preferred Stock | 2023-06-20 | C | D | 1,195,854 | $0.00 | 0 | I | — · — to — | 1,195,854 Common Stock | (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 15 | Derivative | Series B Preferred Stock | 2023-06-20 | C | D | 836,727 | $0.00 | 0 | I By SWaN & Legend Fund 4, LP | — · — to — | 836,727 Common Stock | (F7) The shares are held directly by SWaN & Legend Fund 4, LP ("SL 4"). SWaN & Legend Fund 4 GP, LLC is the manager of SL 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 16 | Derivative | Series B Preferred Stock | 2023-06-20 | C | D | 470,661 | $0.00 | 0 | D By SWaN & Legend Fund 4, LP | — · — to — | 470,661 Common Stock | (F2) The shares are held directly by SWaN Hospitality LLC. (F7) The shares are held directly by SWaN & Legend Fund 4, LP ("SL 4"). SWaN & Legend Fund 4 GP, LLC is the manager of SL 4 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 17 | Derivative | Series A Preferred Stock | 2023-06-20 | C | D | 1,917,501 | $0.00 | 0 | I By SWaN & Legend Fund 3, LP | — · — to — | 1,917,501 Common Stock | (F6) The shares are held directly by SWaN & Legend Fund 3, LP ("SL 3"). SWaN & Legend Fund 3 GP, LLC is the manager of SL 3 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |
| 18 | Derivative | Series A Preferred Stock | 2023-06-20 | C | D | 748,386 | $0.00 | 0 | D By SWaN & Legend Fund 3, LP | — · — to — | 748,386 Common Stock | (F2) The shares are held directly by SWaN Hospitality LLC. (F6) The shares are held directly by SWaN & Legend Fund 3, LP ("SL 3"). SWaN & Legend Fund 3 GP, LLC is the manager of SL 3 and may be deemed to beneficially own these shares. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein. (F1) Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series F Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis without payment of additional consideration immediately prior to the closing of the Issuer's initial public offering. |