0001437749-24-033689.txt : 20241106 0001437749-24-033689.hdr.sgml : 20241106 20241106180227 ACCESSION NUMBER: 0001437749-24-033689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241104 FILED AS OF DATE: 20241106 DATE AS OF CHANGE: 20241106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halle Richard CENTRAL INDEX KEY: 0001561093 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35608 FILM NUMBER: 241432476 MAIL ADDRESS: STREET 1: 12612 W. ALAMEDA PARKWAY CITY: LAKEWOOD STATE: CO ZIP: 80228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Natural Grocers by Vitamin Cottage, Inc. CENTRAL INDEX KEY: 0001547459 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-GROCERY STORES [5411] ORGANIZATION NAME: 07 Trade & Services IRS NUMBER: 841444517 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 12612 W. ALAMEDA PARKWAY CITY: LAKEWOOD STATE: CO ZIP: 80228 BUSINESS PHONE: 877-986-4600 MAIL ADDRESS: STREET 1: 12612 W. ALAMEDA PARKWAY CITY: LAKEWOOD STATE: CO ZIP: 80228 4 1 rdgdoc.xml FORM 4 X0508 4 2024-11-04 0001547459 Natural Grocers by Vitamin Cottage, Inc. NGVC 0001561093 Halle Richard C/O NATURAL GROCERS BY VITAMIN COTTAGE 12612 W. ALAMEDA PARKWAY LAKEWOOD CO 80228 1 CFO (appointee) 0 Common Stock 2024-11-04 4 A 0 7500 27.34 A 66600 D Common Stock 2024-11-04 4 F 0 2500 27.34 D 64100 D Restricted Stock Units 0 2024-11-04 4 A 0 200000 0 A Common Stock 200000 203736 D Represents a fully vested grant of NGVC common stock issued to the reporting person on November 4, 2024. Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this line were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the issuance of the stock grant. Each restricted stock unit ("RSU") represents a contingent right to receive one share of NGVC common stock. These RSUs will vest in full on November 4, 2029. Such RSUs will become fully vested upon the occurrence of a change in control or corporate transaction affecting the issuer. In addition to the transactions reported on this Form 4, includes 3,736 RSUs vesting on March 6, 2025. The reporting person, who served as a director of the issuer until October 31, 2024, was appointed Chief Financial Officer effective January 1, 2025. /s/ Kemper Isely, by Power of Attorney 2024-11-06