Form 4 for NGVC Natural Grocers by Vitamin Cottage, Inc.
Accepted 2021-10-04 00:00:00 ET · period of report 2021-09-30 · accession 0001437749-21-023242 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-10-04 | 2021-10-01 | NGVC | Dissinger Todd | CFO | M - OptEx | $0.00 | +3,520 | 48.2K | +8% | $0 |
| D | 2021-10-04 | 2021-10-01 | NGVC | Dissinger Todd | CFO | F - Tax | $11.22 | -1,017 | 47.2K | -2% | -$11.4K |
| D | 2021-10-04 | 2021-10-01 | NGVC | Dissinger Todd | CFO | M - OptEx | $0.00 | -3,520 | 72.7K | -5% | $0 |
| D | 2021-10-04 | 2021-09-30 | NGVC | Dissinger Todd | CFO | A - Grant | $0.00 | +25.0K | 76.3K | +49% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-01 | M | A | 3,520 | $0.00 | 48,181 | D | — | — | (F1) Represents shares of NGVC common stock issued to the reporting person upon the vesting of 3,520 restricted stock units on October 1, 2021, where each restricted stock unit represented the economic equivalent of one share of NGVC common stock. |
| 2 | Common | Common Stock | 2021-10-01 | F | D | 1,017 | $11.22 | 47,164 | D | — | — | |
| 3 | Derivative | Restricted Stock Units | 2021-10-01 | M | D | 3,520 | $0.00 | 72,747 | D | $0.00 · 2021-10-01 to 2021-10-01 | 3,520 Common Stock | (F5) In addition to the transactions reported on this Form 4, includes: (a) 1,620 restricted stock units vesting on each of November 1, 2021 and 2022; (b) 12,013 restricted stock units vesting on January 2, 2022 and 12,014 restricted stock units vesting on January 2, 2023; provided, however, that all the restricted stock units in this clause (b) that are unvested will become fully vested upon the occurrence of a change in control affecting the Company; (c) 4,000 restricted stock units vesting on June 27, 2022 and 2023; (d) 1,600 restricted stock units vesting on each of October 1, 2022, 2023 and 2024; and (e) 1,920 restricted stock units vesting on each of October 1, 2022, 2023, 2024 and 2025. (F3) Each restricted stock unit represents a contingent right to receive one share of NGVC common stock. |
| 4 | Derivative | Restricted Stock Units | 2021-09-30 | A | A | 25,000 | $0.00 | 76,267 | D | $0.00 · — to — | 25,000 Common Stock | (F5) In addition to the transactions reported on this Form 4, includes: (a) 1,620 restricted stock units vesting on each of November 1, 2021 and 2022; (b) 12,013 restricted stock units vesting on January 2, 2022 and 12,014 restricted stock units vesting on January 2, 2023; provided, however, that all the restricted stock units in this clause (b) that are unvested will become fully vested upon the occurrence of a change in control affecting the Company; (c) 4,000 restricted stock units vesting on June 27, 2022 and 2023; (d) 1,600 restricted stock units vesting on each of October 1, 2022, 2023 and 2024; and (e) 1,920 restricted stock units vesting on each of October 1, 2022, 2023, 2024 and 2025. (F3) Each restricted stock unit represents a contingent right to receive one share of NGVC common stock. (F4) These restricted stock units will vest in full on September 30, 2024. |