SEC Form 4 · accession 0001481366-16-000003
AeroGrow International, Inc. · AERO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John K Thompson
Officer — EVP Marketing
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 7:53 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 | 46,000 | $2.20 | A | 46,000 | D | |
| Common Stock | Dec 2, 2016 | S | 8,420 | $4.1814 | D | 37,580 | D | |
| Common Stock | Dec 5, 2016 | S | 15,146 | $3.8547 | D | 22,434 | D | |
| Common Stock | Dec 5, 2016 | S | 22,434 | $3.5286 | D | 0 | D | |
| Common Stock | Dec 6, 2016 | M | 39,049 | $1.01 | A | 39,049 | D | |
| Common Stock | Dec 6, 2016 | M | 10,951 | $1.55 | A | 50,000 | 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 | $2.20 | Dec 2, 2016 | M | 46,000 | D | Jan 9, 2014 | Oct 9, 2018 | Common Stock | 46,000 | 0 | D |
| Common Stock | $1.01 | Dec 6, 2016 | M | 39,049 | D | May 8, 2013 | Feb 8, 2018 | Common Stock | 39,049 | 0 | D |
| Common Stock | $1.55 | Dec 6, 2016 | M | 10,951 | D | Nov 20, 2015 | Aug 20, 2020 | Common Stock | 10,951 | 29,730 | D |