SEC Form 4 · accession 0001437749-17-014305
Natural Grocers by Vitamin Cottage, Inc. · NGVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kemper Isely
Officer — Chairman & Co-President · Director · 10% Owner · Other
Period of report
Aug 8, 2017
Accepted (ET)
Aug 9, 2017 · 5:33 pm EDT
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 Stock | Aug 8, 2017 | P | 5,400 | $6.1875 | A | 3,118,302 | D | |
| Common StockF1 | holding | — | — | — | 104,745 | I | By Anthony Andueza as UTMA custodian for son | |
| Common StockF1 | holding | — | — | — | 106,145 | I | By Raquel M. Isely, the reporting person's daughter | |
| Common StockF2 | holding | — | — | — | 6,716 | I | By KIVC 3, LLC | |
| Common StockF3 | holding | — | — | — | 616,254 | I | By ZIVC, LLC | |
| Common StockF3 | holding | — | — | — | 201,856 | I | By HIVC 1, LLC | |
| Common StockF3 | holding | — | — | — | 478,788 | I | By HIVC 2, LLC | |
| Common StockF4 | holding | — | — | — | 571,850 | I | By FTVC, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person has no investment power over these shares and disclaims beneficial ownership of these shares.
- F2The Reporting Person is a member, but has no investment power over these shares and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F3The Reporting Person is a beneficiary through a member trust, but has no investment power over these shares and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F4The Reporting Person is a beneficiary through a member trust and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
Remarks
The Reporting Person is a party to a Stockholders Agreement entered into in connection with the initial public offering of the issuer's stock that contains voting agreements and thus is a member of a Schedule 13D group that beneficially owns more than 10% of the issuer's common stock. The number of shares identified as beneficially owned by the Reporting Person excludes shares of Common Stock deemed to be beneficially owned by him solely because of this Stockholders Agreement.