SEC Form 4 · accession 0001354488-16-007885
WILLAMETTE VALLEY VINEYARDS INC · WVVI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Bernau
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jun 22, 2016
Accepted (ET)
Jun 23, 2016 · 1:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000838875
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 22, 2016 | S | 400 | $8.5501 | D | 502,177 | D | |
| Common Stock | Jun 22, 2016 | S | 100 | $8.55 | D | 502,077 | D | |
| Common Stock | Jun 22, 2016 | S | 200 | $8.6375 | D | 501,877 | D | |
| Common Stock | Jun 22, 2016 | S | 100 | $8.64 | D | 501,777 | D | |
| Common Stock | Jun 22, 2016 | S | 9,200 | $8.605 | D | 492,577 | D | |
| Common Stock | Jun 22, 2016 | S | 2,000 | $8.60 | D | 490,577 | D | |
| Common Stock | Jun 22, 2016 | X | 19,157 | $3.2445 | A | 509,734 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $3.2445 | Jun 22, 2016 | X | 19,157 | D | Jul 20, 2011 | Jul 20, 2016 | Common Stock | 19,157 | 0 | D |