SEC Form 4 · accession 0001144204-17-058329
Limoneira CO · LMNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Sawyer
Director
Period of report
Oct 16, 2017
Accepted (ET)
Nov 13, 2017 · 4:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001342423
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Oct 16, 2017 | S | 1 | $23.631 | D | 25,512 | I | By Trust |
| Common StockF3 | Oct 16, 2017 | S | 2 | $23.6549 | D | 161,775 | I | By Trust |
| Common StockF2 | Nov 1, 2017 | G | 6,085 | $0.00 | D | 19,427 | I | By Trust |
| Common StockF4 | Nov 1, 2017 | G | 6,085 | $0.00 | A | 6,085 | I | By Trust |
| Common StockF3 | Nov 2, 2017 | G | 53,925 | $0.00 | D | 107,850 | I | By Trust |
| Common StockF4 | Nov 2, 2017 | G | 53,925 | $0.00 | A | 60,010 | I | By Trust |
| Common StockF2 | Nov 2, 2017 | G | 4,838 | $0.00 | D | 14,589 | I | By Trust |
| Common StockF5 | Nov 2, 2017 | G | 2,419 | $0.00 | A | 60,134 | I | By Trust |
| Common StockF2 | Nov 3, 2017 | G | 6,085 | $0.00 | D | 8,504 | I | By Trust |
| Common StockF3 | Nov 6, 2017 | G | 53,925 | $0.00 | D | 53,925 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The following transactions are in respect to the winding-up of the Sawyer Family Survivor's Trust and the Sawyer Family Bypass Trust upon the death of the surviving settlor pursuant to the terms of such trusts.
- F2Reflects shares indirectly held by the Reporting Person in the Sawyer Family Survivor's Trust not previously reported by the Reporting Person. Mr. Sawyer became a co-trustee of the Sawyer Family Survivor's Trust in 2014. The Reporting Person disclaims beneficial ownership of shares of Issuer common stock held by the trust except to the extent of his pecuniary interest therein.
- F3Reflects shares indirectly held by the Reporting Person in the Sawyer Family Bypass Trust not previously reported by the Reporting Person. Mr. Sawyer became a co-trustee of the Sawyer Family Bypass Trust in 2014. The Reporting Person disclaims beneficial ownership of shares of Issuer common stock held by the trust except to the extent of his pecuniary interest therein.
- F4Shares beneficially owned by the Reporting Person through the Robert McGahie Sawyer Separate GST Trust.
- F5Shares beneficially owned by the Reporting Person through the Sawyer Family 2004 Revocable Trust u/t/a/ dated July 22, 2004.