美國

證券交易委員會

華盛頓特區 20549

表格 8-K

目前報告

根據1934年證券交易所法案第13或15(d)條款

報告日期（報告的最早事件日期）： 2024年12月3日

紅羅賓美式漢堡連鎖店，股份有限公司。

(依其章程規定的登記名稱)

(303) 846-6000

（申報人的電話號碼，包括區號）

如果第8-K表單的提交旨在同時滿足申報人在以下任何條款下的提交義務，請在下方適當的框內打勾：

根據法案第12(b)條規定註冊的證券：

標明通過勾選是否作為1933年證券法規第405條（本章第230.405條）或1934年證券交易法規第120億2條（本章第2401.2億2條）定義下的新興成長公司。

新興成長型公司 ☐

如果是新興成長型公司，請通過勾選標記表明註冊人是否選擇不使用根據《交易所法》第13(a)條規定的任何新的或修訂的財務會計標準的延長過渡期。☐

合作協議

2024年12月3日，紅羅賓美食漢堡公司（"公司"）與附錄A所列的實體和個人（"JCP方"）以及附錄b所列的實體和個人（"Jumana方"，與JCP方合稱爲"投資方"）簽署了一項合作協議（"合作協議"）。

根據合作協議，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·馬丁（“馬丁先生”，與帕帕斯先生一起爲“新董事”，每位爲“新董事”）加入公司董事會（“董事會”），並將董事會擴展至十名董事，以配合新董事的任命。 只要投資方各方繼續滿足最低持股門檻（如下所定義），董事會將提名新董事參加合作期間（如下所定義）舉行的每年股東大會上的選舉。 公司還同意，在合作期屆滿之前，董事會的規模不會超過十名董事，未經投資方事先書面同意。 每位新董事將被任命爲董事會的財務委員會（“財務委員會”），在他被任命爲董事會後儘快進行。 在新董事被任命爲財務委員會後直到合作期結束期間，財務委員會的規模將不超過五名成員，未經投資方事先書面同意。 湯姆·孔福蒂將繼續擔任財務委員會主席。

根據合作協議，投資方同意遵守某些靜止限制和投票承諾，在合作期間內受到某些有限的例外情況的約束。合作協議還包括有關替換新董事的程序以及相互不詆譭條款。投資方參與任何新董事替換的選擇權，以及公司在任命此類替換新董事方面的義務，受到等其他條件限制，其中包括（1）鑑於JCP方指定任何替換新董事的權利，JCP方共同持有至少等於公司當前流通普通股的5.0%的淨多頭頭寸，或者具有至少等於最低所有權門檻的累積淨多頭經濟敞口，以及（2）鑑於Jumana方指定任何替換新董事的權利，Jumana方共同持有至少等於最低所有權門檻的淨多頭頭寸，或者具有至少等於最低所有權門檻的累積淨多頭經濟敞口。

合作協議將在以下時間之前繼續有效：(1) 距離公司第五次修訂和重述章程（不時修訂或重述，以下簡稱“章程”）規定的股東提名非代理訪問董事候選人蔘加公司2026財年股東年會（以下簡稱“2026年年會”）的提前通知截止日期的30個日曆日，以及 (2) 距離公司2025財年股東年會（以下簡稱“2025年年會”）的第一次週年紀念日的120個日曆日（統稱爲“2026年提前通知窗口”）；但前提是，合作期的結束將延長並推遲至以下時間之前：(x) 距離章程中規定的股東提名非代理訪問董事候選人蔘加公司2027財年股東年會的提前通知截止日期的30個日曆日，以及 (y) 距離2026年年會第一次週年紀念日的120個日曆日，如果 (A) 公司決定並不可撤回地提名新董事參加2026年年會，前提是公司在2026年提前通知窗口開始前至少15個日曆日以書面形式通知新董事此決定，並提出不可撤回地提名新董事參加2026年年會的提議，並且 (B) 新董事在收到該通知後的15個日曆日內同意該提名（該期間稱爲“合作期”）。

上述 合作協議的摘要並不聲稱是完整的，且完全以合作協議的全文爲依據， 其副本作爲附錄10.1隨附並被引用。

股權購買協議

2024年12月3日， 公司與投資方的某些關聯方（「股權投資者」）簽訂了股權購買協議（「購買協議」）， 根據該協議， 公司同意向股權投資者以定向增發（「定向增發」）方式發行並出售總計 1,600,909 股（「分享」）公司普通股，每股面值0.001美元（「普通股」）， 每股購買價格爲5.19美元。 定向增發的總毛收益預計約爲830萬。公司預計定向增發的淨收益將用於償還債務和一般公司開支。

在定向增髮結束後，公司將大約擁有 17,387,048 優先 普通股的流通在外股份。購買協議包含公司和股權投資者的常規聲明、保證和協議，以及公司的股權投資者的賠償義務，包括根據1933年的證券法修訂版（「證券法」）的責任，以及各方的其他義務。

此外， 購買協議提供了一些常見的登記權利，根據這些權利，公司已同意盡商業上合理的努力在交易所和證券交易委員會（“ 證券交易委員會（“SEC”） 覆蓋股權投資者在私募交易結束後的45天內對其股份的轉售。

定向增髮根據《證券法》第4(a)(2)條的規定，在不涉及任何公開發售的情況下，免於註冊要求，並依賴於適用州法律下的類似豁免。公司部分依賴於股權投資者所作的陳述來申請這一註冊豁免。在定向增發中出售和發行的證券並未在《證券法》或任何州證券法下注冊，且在未向證券交易委員會註冊或未獲得任何適用的註冊豁免的情況下，可能無法在美國進行發售或銷售。此8-k表格的當前報告及其附帶的展品均不構成對所述證券的出售要約或購入要約的招攬。

根據購買協議的條款，(i) 董事會已將購買協議、合作協議及相關交易豁免於特拉華州一般公司法第203條的規定（"DGCL"），以及(ii) 股權投資者已同意，一旦股權投資者（連同其各自的關聯公司）在未獲得董事會事先批准的情況下，獲得21.0%或更多的普通股的實益所有權， (A) 股權投資者（連同其各自的關聯公司，視情況而定）將在DGCL第203條定義中被視爲公司的「有關股東」（但爲了此目的，將該定義中的15%替換爲21.0%），就好像DGCL第203條的豁免沒有獲得批准一樣；(B) 公司應遵守DGCL第203條中列舉的與股權投資者（連同其各自的關聯公司，視情況而定）作爲「有關股東」的任何業務組合的限制，爲期三年，從股權投資者（連同其各自的關聯公司）開始實益擁有21.0%或更多的普通股時計算；但需要理解和同意的是，任何因受限人員（如合作協議中定義）在公司作爲董事、官員或員工的服務所獲得的證券或相關獎項或授予將被排除在前述所有權限制之外。

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