SEC Form 4 · accession 0001437749-18-015134
Natural Grocers by Vitamin Cottage, Inc. · NGVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd Dissinger
Officer — Chief Financial Officer
Period of report
Aug 7, 2018
Accepted (ET)
Aug 9, 2018 · 5:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547459
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3,F2 | — | Aug 7, 2018 | A | 20,000 | A | — | — | Common Stock | 20,000 | 93,572 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of NGVC common stock.
- F24,000 of these restricted stock units will vest on each of June 27, 2019, 2020, 2021, 2022 and 2023.
- F3In addition to the 20,000 restricted stock units covered by this Form 4: a)1,802 restricted stock units will vest on each of August 13, 2018, 2019 and 2020; b)1,620 restricted stock units will vest on each of November 1, 2018, 2019, 2020, 2021 and 2022; and c)12,013 restricted stock units will vest on each of January 2, 2019, 2020, 2021 and 2022 and 12,014 restricted stock units will vest on January 2, 2023; provided, however, that all the restricted stock units in this clause (c) that are unvested will become fully vested upon the occurrence of a change in control affecting the Company.