Filing Details
- Accession Number:
- 0001104659-12-052879
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-31 21:15:36
- Reporting Period:
- 2012-07-27
- Filing Date:
- 2012-07-31
- Accepted Time:
- 2012-07-31 21:15:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1547459 | Natural Grocers By Vitamin Cottage Inc. | NGVC | Retail-Grocery Stores (5411) | 841444517 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1552659 | Kemper Isely | C/O Natural Grocers By Vitamin Cottage 12612 W. Alameda Parkway Lakewood CO 80228 | Chairman & Co-President | Yes | Yes | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-07-27 | 4,340,390 | $0.00 | 4,340,390 | No | 5 | A | Direct | |
Common Stock | Disposition | 2012-07-30 | 1,242,988 | $15.00 | 3,097,402 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2012-07-27 | 103,745 | $0.00 | 103,745 | No | 5 | J | Indirect | By Anthony Andueza as UTMA custodian for son |
Common Stock | Acquisiton | 2012-07-27 | 103,745 | $0.00 | 103,745 | No | 5 | J | Indirect | By Anthony Andueza as UTMA custodian for daughter |
Common Stock | Acquisiton | 2012-07-27 | 6,716 | $0.00 | 6,716 | No | 5 | J | Indirect | By KIVC 3, LLC |
Common Stock | Acquisiton | 2012-07-27 | 616,254 | $0.00 | 616,254 | No | 5 | J | Indirect | By ZIVC, LLC |
Common Stock | Acquisiton | 2012-07-27 | 201,856 | $0.00 | 201,856 | No | 5 | J | Indirect | By HIVC 1, LLC |
Common Stock | Acquisiton | 2012-07-27 | 478,788 | $0.00 | 478,788 | No | 5 | J | Indirect | By HIVC 2, LLC |
Common Stock | Acquisiton | 2012-07-27 | 627,800 | $0.00 | 627,800 | No | 5 | J | Indirect | By FTVC, LLC |
Common Stock | Disposition | 2012-07-30 | 55,950 | $15.00 | 571,850 | No | 4 | S | Indirect | By FTVC, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | A | Direct | |
No | 4 | S | Direct | |
No | 5 | J | Indirect | By Anthony Andueza as UTMA custodian for son |
No | 5 | J | Indirect | By Anthony Andueza as UTMA custodian for daughter |
No | 5 | J | Indirect | By KIVC 3, LLC |
No | 5 | J | Indirect | By ZIVC, LLC |
No | 5 | J | Indirect | By HIVC 1, LLC |
No | 5 | J | Indirect | By HIVC 2, LLC |
No | 5 | J | Indirect | By FTVC, LLC |
No | 4 | S | Indirect | By FTVC, LLC |
Footnotes
- Shares were acquired by the direct beneficial owner in a redomestication, holding company reorganization exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, under Rule 16b-7 promulgated thereunder. In connection with, and immediately prior to the completion of, the issuer's initial public offering, the then existing shareholders of Vitamin Cottage Natural Food Markets, Inc. (now the issuer's wholly-owned subsidiary and operating company) exchanged their shares of capital stock in the operating company for a ratable percentage of shares of common stock of the issuer.
- Reporting Person has no investment power over these shares and disclaims beneficial ownership of these shares.
- 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.
- 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.
- 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.