<SEC-DOCUMENT>0000825324-15-000002.txt : 20150114
<SEC-HEADER>0000825324-15-000002.hdr.sgml : 20150114
<ACCEPTANCE-DATETIME>20150114101550
ACCESSION NUMBER:		0000825324-15-000002
CONFORMED SUBMISSION TYPE:	8-K/A
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20150114
ITEM INFORMATION:		Unregistered Sales of Equity Securities
FILED AS OF DATE:		20150114
DATE AS OF CHANGE:		20150114

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			GOOD TIMES RESTAURANTS INC
		CENTRAL INDEX KEY:			0000825324
		STANDARD INDUSTRIAL CLASSIFICATION:	RETAIL-EATING PLACES [5812]
		IRS NUMBER:				841133368
		STATE OF INCORPORATION:			NV
		FISCAL YEAR END:			0930

	FILING VALUES:
		FORM TYPE:		8-K/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-18590
		FILM NUMBER:		15526315

	BUSINESS ADDRESS:	
		STREET 1:		601 CORPORATE CIRCLE
		CITY:			GOLDEN
		STATE:			CO
		ZIP:			80401
		BUSINESS PHONE:		3033841400

	MAIL ADDRESS:	
		STREET 1:		601 CORPORATE CIRCLE
		CITY:			GOLDEN
		STATE:			CO
		ZIP:			80401

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PARAMOUNT VENTURES INC
		DATE OF NAME CHANGE:	19900205
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K/A
<SEQUENCE>1
<FILENAME>form8k_aitem30211415.htm
<TEXT>
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<head><title>Converted by EDGARwiz</title> </head> <body style="FONT-SIZE:10pt; FONT-FAMILY:Times New Roman; COLOR:#000000; MARGIN-TOP:0px"> <div style=WIDTH:624px> <p style=MARGIN:0px align=center><br></p></div> <table bordercolor=transparent style="FONT-SIZE:10pt; MARGIN-TOP:0px" cellpadding=0 cellspacing=0> <tr style=FONT-SIZE:0px> <td width=212> <td width=212> <td width=212 /> </tr><tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px align=center><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>UNITED STATES</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>SECURITIES AND EXCHANGE COMMISSION</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Washington, D.C. 20549</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>FORM 8-K/A</b></p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>(Amendment No. 1)</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px align=center><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>CURRENT REPORT</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Date of Report (Date of earliest event reported): January 14, 2015</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Amended Date of Report: August 18, 2014 (Original Date of Report: June 12, 2014)</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center><b>Good Times Restaurants Inc.</b></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Exact name of registrant as specified in its charter)</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Nevada</p></td> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>000-18590</p></td> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>84-1133368</p></td></tr> <tr> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(State or other jurisdiction</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>of incorporation)</p></td> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Commission</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>File Number)</p></td> <td width=212 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(IRS Employer</p> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Identification No.)</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>601 Corporate Circle, Golden, Colorado 80401</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Address of principal executive offices) &nbsp;&nbsp;(Zip Code)</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Registrant<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s telephone number, including area code: (303) 384-1400</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>Not applicable</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px" align=center>(Former name or former address, if changed since last report.)</p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style=MARGIN:0px><br></p></td></tr> <tr> <td width=638 colspan=3 style=MARGIN-TOP:0px valign=top> <p style="FONT-SIZE:11pt; MARGIN:0px">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.):</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">[_] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">[_] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">[_] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px">[_] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p></td></tr></table> <div style=WIDTH:624px> <p style=MARGIN:0px><br></p> <p style=MARGIN:7px align=center><br><br></p> <p style=MARGIN:0px align=center>&nbsp;</p> <p style=MARGIN:0px><br></p> <p style="MARGIN-BOTTOM:7px; FONT-SIZE:11pt; PAGE-BREAK-BEFORE:always; MARGIN-TOP:7px" align=center><b>Explanatory Note</b></p> <p style="MARGIN-BOTTOM:7px; FONT-SIZE:11pt; MARGIN-TOP:7px" align=justify>This Current Report on Form 8-K/A amends the Current Report on Form 8-K of Good Times Restaurants Inc. (the <font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#147;</font>Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#148;</font>) filed on August 22, 2014 (the <font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#147;</font>Original Report<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#148;</font>). The purpose of this Amendment is to correct inadvertent errors in (i) reporting the timing of the number of shares of common stock sold without registration by the Company after the Original Registration Statement (defined below) ceased to be effective, and (ii)&nbsp;the date on which the number of shares of common stock sold without registration by the Company in respect of Warrant exercises exceeded 5% of the outstanding shares. &nbsp;The correct date on which the number of shares of common stock sold by the Company without registration in respect of Warrant exercises exceeded 5% of the Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s outstanding shares was August 18, 2014, four days prior to the date the Original Report was filed, thereby resulting in the filing of the Original Report being timely. &nbsp;In recently reviewing its records with respect to the foregoing sales the Company identified such errors which resulted primarily from its reference to an incorrect subset of Warrant exercises, which incorrect subset was being tracked as part of the Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s NASDAQ Capital Market reporting requirements, but which should not have been utilized in making the calculations relevant to this Current Report.</p> <p style="MARGIN-BOTTOM:7px; FONT-SIZE:11pt; MARGIN-TOP:7px" align=justify>&nbsp;</p> <p style="MARGIN-BOTTOM:-1pt; FONT-SIZE:1pt; MARGIN-TOP:7px" /> <p style="MARGIN-BOTTOM:-2px; FONT-SIZE:11pt; WIDTH:96px; FLOAT:left; MARGIN-TOP:0px"><b>Item 3.02</b></p> <p style="MARGIN-BOTTOM:7px; FONT-SIZE:11pt; MARGIN-TOP:0px; TEXT-INDENT:-2px"><b>Unregistered Sale of Equity Securities</b></p> <p style="MARGIN-BOTTOM:7px; FONT-SIZE:11pt; CLEAR:left; MARGIN-TOP:7px" align=justify>Between May 16, 2014 and August 20, 2014, the Company sold (i) 484,600 shares of common stock at $2.75 per share issued upon exercise of the Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s A Warrants issued pursuant to the Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s Registration Statement on Form S-1 filed with the SEC and declared effective on August 15, 2013 (the <font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#147;</font>Original Registration Statement<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#148;</font>), and (ii) 31,200 shares of common stock at $2.50 per share issued upon exercise of the Company<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#146;</font>s B Warrants issued pursuant to the Original Registration Statement. &nbsp;The number of shares issued in respect of A Warrant and B Warrant exercises since May 16, 2014 exceeded 5% of the outstanding shares on August 18, 2014, which, because the Company is a smaller reporting company, was the triggering event for this Form 8-K. &nbsp;The Company is not claiming an exemption from registration. &nbsp;The Company understands that the SEC does not view the shares underlying the warrants as being <font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#147;</font>sold<font style="FONT-FAMILY:Arial Unicode MS,Times New Roman">&#148;</font> for securities law purposes until the warrants are exercised, and therefore it is the view of the SEC that the Company should have filed a post-effective amendment to the Original Registration Statement prior to issuing these shares. &nbsp;Promptly upon learning of the requirement, the Company undertook corrective steps to comply.</p> <p style=MARGIN:0px align=center><br><br></p> <p style=MARGIN:0px align=center>2</p> <p style=MARGIN:0px align=center>&nbsp;</p> <p style="FONT-SIZE:8pt; FONT-FAMILY:Arial; MARGIN:0px">&nbsp;</p> <p style="PAGE-BREAK-BEFORE:always; MARGIN:0px" align=center><b>SIGNATURES</b></p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:38px">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:288px">GOOD TIMES RESTAURANTS INC.</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br></p> <p style="MARGIN-BOTTOM:-2px; FONT-SIZE:11pt; WIDTH:288px; FLOAT:left; MARGIN-TOP:0px">Date: &nbsp;January 14, 2015</p> <p style="MARGIN-BOTTOM:-2px; FONT-SIZE:11pt; WIDTH:36px; FLOAT:left; MARGIN-TOP:0px">By:</p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:-2px"><i><u>/s/ Boyd E. Hoback</u></i></p> <p style="FONT-SIZE:11pt; CLEAR:left; MARGIN:0px; TEXT-INDENT:324px">Boyd E. Hoback</p> <p style="FONT-SIZE:11pt; MARGIN:0px; TEXT-INDENT:324px">President and Chief Executive Officer</p> <p style=MARGIN:0px><br></p> <p style=MARGIN:0px><br><br></p> <p style=MARGIN:0px align=center>3</p> <p style=MARGIN:0px><br></p></div></body>
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