Kona Grill, Inc.

(Name of Issuer)

COMMON STOCK

(Title of Class of Securities) 

50047H 201

(CUSIP Number)

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

☐

Rule 13d-1(b)

☐

Rule 13d-1(c)

☒

Rule 13d-1(d)

  CUSIP No. 50047H201

Page 2 of 5  

1.

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITY ONLY)

Richard J. Hauser

2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a) ☐

(b) ☐

3.

SEC USE ONLY

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5.

SOLE VOTING POWER

102,895⁽¹⁾

6.

SHARED VOTING POWER

490,893⁽²⁾

7.

SOLE DISPOSITIVE POWER

102,895⁽¹⁾

8.

SHARED DISPOSITIVE POWER

490,893⁽²⁾

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

639,788⁽¹⁾⁽²⁾

10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

6.1%

12.

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

IN

  CUSIP No. 50047H201

Page 3 of 5  

Item 1.

(a)

Name of Issuer: Kona Grill, Inc.

(b)

Address of Issuer's Principal Executive Offices:

7150 E. Camelback Road, Suite 333

Scottsdale, Arizona 85251

Item 2.

(a)

Name of Person Filing: Richard J. Hauser

(b)

Address of Principal Business Office or, if none, Residence:

50 S. 6^th Street, Suite 1480

Minneapolis, Minnesota 55402

(c)

Citizenship or Place of Organization: United States

(d)

Title of Class of Securities: Common Stock

(e)

CUSIP Number: 50047H201

Item 3.

If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

(a)

☐

Broker or dealer registered under Section 15 of the Exchange Act.

(b)

☐

Bank as defined in Section 3(a)(6) of the Exchange Act.

(c)

☐

Insurance company as defined in Section 3(a)(19) of the Exchange Act.

(d)

☐

Investment company registered under Section 8 of the Investment Company Act.

(e)

☐

An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

(f)

☐

An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

(g)

☐

A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

(h)

☐

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

(i)

☐

A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940;

  CUSIP No. 50047H201

Page 4 of 5  

Item 4.

Ownership.

(a)

Amount beneficially owned: 639,788⁽¹⁾⁽²⁾

(b)

Percent of class: 6.1%

(c)

Number of shares as to which the person has:

(i)

Sole power to vote or to direct the vote: 102,895⁽¹⁾

(ii)

Shared power to vote or to direct the vote: 490,893⁽²⁾

(iii)

Sole power to dispose or to direct the disposition of: 102,895⁽¹⁾

(iv)

Shared power to dispose or to direct the disposition of: 490,893⁽²⁾

Item 5.

Ownership of Five Percent or Less of a Class.

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

Not Applicable.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

Not Applicable.

Item 8.

Identification and Classification of Members of the Group.

Not Applicable.

Item 9.

Notice of Dissolution of Group.

Not Applicable.

Item 10.

Certifications.

Not Applicable.

  CUSIP No. 50047H201

Page 5 of 5  

February 9, 2017

(Date)

/s/ Richard Hauser

(Signature)

Richard Hauser

(Name/Title)