SEC Form 4 · accession 0001437749-17-003794
Natural Grocers by Vitamin Cottage, Inc. · NGVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Halle
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547459
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 2, 2017 | M | 2,941 | $0.00 | A | 20,245 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Mar 1, 2017 | A | 4,954 | A | — | — | Common Stock | 4,954 | 7,895 | D |
| Restricted Stock UnitsF2 | — | Mar 2, 2017 | M | 2,941 | D | Mar 2, 2017 | Mar 2, 2017 | Common Stock | 2,941 | 4,954 | D |
Explanation of responses
- F1Represents shares of NGVC common stock issued to the reporting person upon the vesting of 2,941 restricted stock units on March 2, 2017, where each restricted stock unit represented the economic equivalent of one share of NGVC common stock.
- F2Each restricted stock unit represents a contingent right to receive one share of NGVC common stock.
- F3The restricted stock units vest on March 1, 2018 and will be settled in shares of NGVC common stock upon vesting.