美国

证券交易委员会

华盛顿特区 20549

表格 8-K

目前报告

根据1934年证券交易所法案第13或15(d)条款

报告日期（报告的最早事件日期）： 2024年12月3日

红罗宾美式汉堡连锁店，股份有限公司。

(依其章程规定的登记名称)

(303) 846-6000

（申报人的电话号码，包括区号）

如果第8-K表单的提交旨在同时满足申报人在以下任何条款下的提交义务，请在下方适当的框内打勾：

根据法案第12(b)条规定注册的证券：

标明通过勾选是否作为1933年证券法规第405条（本章第230.405条）或1934年证券交易法规第120亿2条（本章第2401.2亿2条）定义下的新兴成长公司。

新兴成长型公司 ☐

如果是新兴成长型公司，请通过勾选标记表明注册人是否选择不使用根据《交易所法》第13(a)条规定的任何新的或修订的财务会计标准的延长过渡期。☐

合作协议

2024年12月3日，红罗宾美食汉堡公司（"公司"）与附录A所列的实体和个人（"JCP方"）以及附录b所列的实体和个人（"Jumana方"，与JCP方合称为"投资方"）签署了一项合作协议（"合作协议"）。

根据合作协议，公司同意立即任命詹姆斯·帕帕斯（“帕帕斯先生”）和克里斯托弗·马丁（“马丁先生”，与帕帕斯先生一起为“新董事”，每位为“新董事”）加入公司董事会（“董事会”），并将董事会扩展至十名董事，以配合新董事的任命。 只要投资方各方继续满足最低持股门槛（如下所定义），董事会将提名新董事参加合作期间（如下所定义）举行的每年股东大会上的选举。 公司还同意，在合作期届满之前，董事会的规模不会超过十名董事，未经投资方事先书面同意。 每位新董事将被任命为董事会的财务委员会（“财务委员会”），在他被任命为董事会后尽快进行。 在新董事被任命为财务委员会后直到合作期结束期间，财务委员会的规模将不超过五名成员，未经投资方事先书面同意。 汤姆·孔福蒂将继续担任财务委员会主席。

根据合作协议，投资方同意遵守某些静止限制和投票承诺，在合作期间内受到某些有限的例外情况的约束。合作协议还包括有关替换新董事的程序以及相互不诋毁条款。投资方参与任何新董事替换的选择权，以及公司在任命此类替换新董事方面的义务，受到等其他条件限制，其中包括（1）鉴于JCP方指定任何替换新董事的权利，JCP方共同持有至少等于公司当前流通普通股的5.0%的净多头头寸，或者具有至少等于最低所有权门槛的累积净多头经济敞口，以及（2）鉴于Jumana方指定任何替换新董事的权利，Jumana方共同持有至少等于最低所有权门槛的净多头头寸，或者具有至少等于最低所有权门槛的累积净多头经济敞口。

合作协议将在以下时间之前继续有效：(1) 距离公司第五次修订和重述章程（不时修订或重述，以下简称“章程”）规定的股东提名非代理访问董事候选人参加公司2026财年股东年会（以下简称“2026年年会”）的提前通知截止日期的30个日历日，以及 (2) 距离公司2025财年股东年会（以下简称“2025年年会”）的第一次周年纪念日的120个日历日（统称为“2026年提前通知窗口”）；但前提是，合作期的结束将延长并推迟至以下时间之前：(x) 距离章程中规定的股东提名非代理访问董事候选人参加公司2027财年股东年会的提前通知截止日期的30个日历日，以及 (y) 距离2026年年会第一次周年纪念日的120个日历日，如果 (A) 公司决定并不可撤回地提名新董事参加2026年年会，前提是公司在2026年提前通知窗口开始前至少15个日历日以书面形式通知新董事此决定，并提出不可撤回地提名新董事参加2026年年会的提议，并且 (B) 新董事在收到该通知后的15个日历日内同意该提名（该期间称为“合作期”）。

上述 合作协议的摘要并不声称是完整的，且完全以合作协议的全文为依据， 其副本作为附录10.1随附并被引用。

股权购买协议

2024年12月3日， 公司与投资方的某些关联方（“股权投资者”）签订了股权购买协议（“购买协议”）， 根据该协议， 公司同意向股权投资者以定向增发（“定向增发”）方式发行并出售总计 1,600,909 股（“分享”）公司普通股，每股面值0.001美元（“普通股”）， 每股购买价格为5.19美元。 定向增发的总毛收益预计约为830万。公司预计定向增发的净收益将用于偿还债务和一般公司开支。

在定向增发结束后，公司将大约拥有 17,387,048 优先 普通股的流通在外股份。购买协议包含公司和股权投资者的常规声明、保证和协议，以及公司的股权投资者的赔偿义务，包括根据1933年的证券法修订版（“证券法”）的责任，以及各方的其他义务。

此外， 购买协议提供了一些常见的登记权利，根据这些权利，公司已同意尽商业上合理的努力在交易所和证券交易委员会（“ 证券交易委员会（“SEC”） 覆盖股权投资者在私募交易结束后的45天内对其股份的转售。

定向增发根据《证券法》第4(a)(2)条的规定，在不涉及任何公开发售的情况下，免于注册要求，并依赖于适用州法律下的类似豁免。公司部分依赖于股权投资者所作的陈述来申请这一注册豁免。在定向增发中出售和发行的证券并未在《证券法》或任何州证券法下注册，且在未向证券交易委员会注册或未获得任何适用的注册豁免的情况下，可能无法在美国进行发售或销售。此8-k表格的当前报告及其附带的展品均不构成对所述证券的出售要约或购入要约的招揽。

根据购买协议的条款，(i) 董事会已将购买协议、合作协议及相关交易豁免于特拉华州一般公司法第203条的规定（"DGCL"），以及(ii) 股权投资者已同意，一旦股权投资者（连同其各自的关联公司）在未获得董事会事先批准的情况下，获得21.0%或更多的普通股的实益所有权， (A) 股权投资者（连同其各自的关联公司，视情况而定）将在DGCL第203条定义中被视为公司的“有关股东”（但为了此目的，将该定义中的15%替换为21.0%），就好像DGCL第203条的豁免没有获得批准一样；(B) 公司应遵守DGCL第203条中列举的与股权投资者（连同其各自的关联公司，视情况而定）作为“有关股东”的任何业务组合的限制，为期三年，从股权投资者（连同其各自的关联公司）开始实益拥有21.0%或更多的普通股时计算；但需要理解和同意的是，任何因受限人员（如合作协议中定义）在公司作为董事、官员或员工的服务所获得的证券或相关奖项或授予将被排除在前述所有权限制之外。

The foregoing summary of the Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the form of Purchase Agreement, a copy of which is attached as Exhibit 10.2 and is incorporated by reference.

The information set forth in Item 1.01 is incorporated herein by reference.

The information set forth in Item 1.01 is incorporated herein by reference.

Pursuant to the Cooperation Agreement, on December 3, 2024, the Board increased its size from eight to ten members and appointed each of the New Directors to fill the resulting vacancies. Mr. Pappas founded JCP Investment Management in Houston in June 2009 and is the Managing Member and owner of the firm. He has served as a director of United Natural Foods, Inc. (NYSE: UNFI), a food distributor to grocery stores, since September 2023. Additionally, he has been the chairman of the board of directors of Innovative Food Holdings, Inc. (OTCQB: IVFH), a direct-to-chef and restaurant specialty food platform, since 2023, and a director since 2020. Mr. Pappas is also a director of Tandy Leather Factory, Inc. (NASDAQ: TLF), a specialty retailer and wholesale distributor of leather and leather related products, a position he has held since 2016. Mr. Pappas previously served on the boards of several other public companies, including food-related businesses such as Jamba, Inc., The Pantry, Inc., and Morgan’s Foods, Inc., as well as U.S. Geothermal Inc. From 2007 until 2009, he was a private investor, in addition to consulting with several businesses. From 2005 until 2007, he worked in the Investment Banking/Leveraged Finance Division of Goldman Sachs, where he advised private equity groups and corporations on appropriate leveraged buyout, recapitalization and refinancing alternatives. Prior to that, he was an investment banker at Banc of America Securities, where he focused on consumer and retail investment banking. He currently also serves as Secretary for the Endowment Advisory Board of the Annunciation Greek Orthodox Church in Houston and on the Methodist Hospital Gastro Division’s Advisory Board in Houston. Mr. Pappas received a BBA in Information Technology, and a Master of Finance from Texas A&M University.

Mr. Martin has served as a Managing Director of Jumana Capital, LLC, a private investment firm specializing in concentrated investments in middle market companies, since July 2020, where he is responsible for investment strategy and execution across the portfolio, and serves as the Manager of Jumana Capital Investments LLC, an affiliated investment entity. Previously, Mr. Martin served as a Vice President at Hastings Equity Partners, LLC, a private equity firm, from July 2017 until July 2020. Mr. Martin also previously served as the Chief Financial Officer of Specialty Welding & Turnarounds, LLC, an industrial services company, from October 2017 through January 2020. Prior to that, Mr. Martin was a Vice President at Simmons & Company International, part of the Piper Sandler Companies (NYSE: PIPR), from July 2013 to July 2017. Mr. Martin began his career at FTI Consulting, Inc. (NYSE: FCN), a global advisory firm, in the Corporate Finance and Restructuring group. Mr. Martin holds an MBA from the University of Texas at Austin and a BBA from Texas Christian University.

Each of the New Directors will receive compensation consistent with that received by the Company’s other non-employee directors, as described in the Company’s proxy statement on Schedule 14A for the 2024 Annual Meeting of Stockholders, filed with the SEC on April 4, 2024. There are no arrangements or understandings between any of the New Directors and any other person pursuant to which any of the New Directors was appointed as a director other than with respect to the matters referred to in Item 1.01. At this time, there are no related party transactions in which any of the New Directors has or will have an interest that would be required to be disclosed pursuant to Item 404(a) of Regulation S-K under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). The Board has determined that each of the New Directors qualifies as an independent director under the Nasdaq listing standards.

Upon their respective appointments to the Board, Mr. Pappas and Mr. Martin each joined the Finance Committee of the Board.

On December 3, 2024, the Company issued a press release announcing the Company’s entry into the Cooperation Agreement, the Purchase Agreement and the matters described in Item 1.01, Item 3.02 and Item 5.02 of this Form 8-K. A copy of the press release is furnished as Exhibit 99.1 and incorporated herein by reference.

As provided in General Instruction B.2 of Form 8-K, the information under this Item 7.01 and Exhibit 99.1 is furnished and shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

Forward-Looking Statements

Forward-looking statements in this Form 8-K and certain of the materials furnished or filed herewith regarding our future operating or financial performance, our strategy and ability to executive and drive long term shareholder value, the expected activities in connection with the Investor Parties, and all other statements that are not historical facts are made under the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. These statements are based on assumptions believed by the Company to be reasonable and speak only as of the date on which such statements are made. Without limiting the generality of the foregoing, words such as “expect,” “believe,” “anticipate,” “intend,” “plan,” “project,” “could,” “should,” “will,” “outlook” or “estimate,” or the negative or other variations thereof or comparable terminology are intended to identify forward-looking statements. Except as required by law, the Company undertakes no obligation to update such statements to reflect events or circumstances arising after such date and cautions investors not to place undue reliance on any such forward-looking statements. Forward-looking statements are subject to various risks and uncertainties that could cause actual results to differ materially from those cautionary statements and risk factors described from time to time in the Company’s Form 10-K, Form 10-Q, and Form 8-K reports (including all amendments to those reports) filed with the U.S. Securities and Exchange Commission.

(d)       Exhibits.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: December 3, 2024