SEC Form 4 · accession 0001437749-17-014766
Natural Grocers by Vitamin Cottage, Inc. · NGVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth Isely
Officer — Executive Vice President · Director · Other
Period of report
Aug 11, 2017
Accepted (ET)
Aug 14, 2017 · 6:22 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 11, 2017 | P | 5,000 | $6.415 | A | 1,269,306 | D | |
| Common Stock | Aug 11, 2017 | P | 993 | $6.28 | A | 1,270,299 | D | |
| Common StockF1 | holding | — | — | — | 71,772 | I | By KIVC 1, LLC | |
| Common StockF1 | holding | — | — | — | 572,097 | I | By KIVC 2, LLC | |
| Common StockF1 | holding | — | — | — | 616,254 | I | By ZIVC, LLC | |
| Common StockF1 | holding | — | — | — | 201,856 | I | By HIVC 1, LLC | |
| Common StockF1 | holding | — | — | — | 478,788 | I | By HIVC 2, LLC | |
| Common StockF1 | holding | — | — | — | 571,850 | I | By FTVC, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 her 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 her solely because of this Stockholders Agreement.