SEC Form 4 · accession 0001439756-16-000002
AeroGrow International, Inc. · AERO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grey H Gibbs
Officer — SVP-Finance and Accounting
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 7:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316644
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 2, 2016 | M | 7,383 | $1.01 | A | 7,383 | D | |
| Common Stock | Dec 2, 2016 | M | 8,750 | $2.20 | A | 16,133 | D | |
| Common Stock | Dec 2, 2016 | M | 7,433 | $1.55 | A | 23,566 | D | |
| Common Stock | Dec 6, 2016 | M | 6,127 | $1.55 | A | 29,693 | D | |
| Common Stock | Dec 2, 2016 | S | 8,420 | $4.1814 | D | 21,273 | D | |
| Common Stock | Dec 5, 2016 | S | 15,146 | $3.8547 | D | 6,127 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $1.01 | Dec 2, 2016 | M | 7,383 | D | May 8, 2013 | Feb 8, 2018 | Common Stock | 7,383 | 0 | D |
| Common Stock | $2.20 | Dec 2, 2016 | M | 8,750 | D | Jan 9, 2014 | Oct 9, 2018 | Common Stock | 8,750 | 0 | D |
| Common Stock | $1.55 | Dec 2, 2016 | M | 7,433 | D | Nov 20, 2015 | Aug 20, 2020 | Common Stock | 7,433 | 6,127 | D |
| Common Stock | $1.55 | Dec 6, 2016 | M | 6,127 | D | Nov 20, 2015 | Aug 20, 2020 | Common Stock | 6,127 | 0 | D |