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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Natural Grocers by Vitamin Cottage Inc | NYSE:NGVC | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.56 | 3.33% | 17.38 | 17.40 | 16.84 | 16.84 | 44,727 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Isely Kemper |
2. Issuer Name
and
Ticker or Trading Symbol
Natural Grocers by Vitamin Cottage, Inc. [ NGVC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner __ X __ Officer (give title below) __ X __ Other (specify below) Chairman & Co-President / 13D Group Member |
12612 W. ALAMEDA PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
LAKEWOOD, CO 80228 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 8/8/2017 | P | 5400 | A | $6.1875 | 3118302 | D | |||
Common Stock | 104745 | I | By Anthony Andueza as UTMA custodian for son (1) | |||||||
Common Stock | 106145 | I | By Raquel M. Isely, the reporting person's daughter (1) | |||||||
Common Stock | 6716 | I | By KIVC 3, LLC (2) | |||||||
Common Stock | 616254 | I | By ZIVC, LLC (3) | |||||||
Common Stock | 201856 | I | By HIVC 1, LLC (3) | |||||||
Common Stock | 478788 | I | By HIVC 2, LLC (3) | |||||||
Common Stock | 571850 | I | By FTVC, LLC (4) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
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. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Isely Kemper
12612 W. ALAMEDA PARKWAY LAKEWOOD, CO 80228 |
X | X | Chairman & Co-President | 13D Group Member |
Signatures
|
||
/s/ Kemper Isely | 8/9/2017 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Natural Grocers by Vitam... Chart |
1 Month Natural Grocers by Vitam... Chart |
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