UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units (1) | Â (2) | Â (2) | Common Stock | 5,406 | $ (1) | D | Â |
Restricted Stock Units (1) | Â (3) | Â (3) | Common Stock | 8,100 | $ (1) | D | Â |
Restricted Stock Units (1) | Â (4) | Â (4) | Common Stock | 60,066 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dissinger Todd C/O NATURAL GROCERS BY VITAMIN COTTAGE 12612 WEST ALAMEDA PARKWAY LAKEWOOD, CO 80228 |
 |  |  Chief Financial Officer |  |
/s/ Kemper Isely, by Power of Attorney | 08/09/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Each restricted stock unit represents a contingent right to receive one share of NGVC common stock. |
(2) | 1,802 of these restricted stock units will vest on each of August 13, 2018, 2019 and 2020. |
(3) | 1,620 of these restricted stock units will vest on each of November 1, 2018, 2019, 2020, 2021 and 2022. |
(4) | 12,013 of these restricted stock units will vest on each of January 2, 2019, 2020, 2021 and 2022 and 12,014 of these restricted stock units will vest on January 2, 2023; provided, however, that all such restricted stock units that are unvested will become fully vested upon the occurrence of a change in control affecting the Company. |
 Remarks: The original Form 3 filed on January 3, 2018 is amended by this Form 3 amendment to correctly reflect the vesting dates of the restricted stock units referred to in footnote (2) above. |