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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options | $ 0.12 | 01/15/2010 | D(1) | 33,334 | 02/01/2008 | 02/01/2013 | Common Stock | 33,334 | (2) | 566,666 | D | ||||
Stock Options | $ 0.12 | 01/15/2010 | A(1) | 33,334 | 02/01/2008 | 02/01/2015 | Common Stock | 33,334 | (2) | 600,000 | D | ||||
Stock Options | $ 0.12 | 01/15/2010 | D(1) | 216,666 | 03/01/2008(3) | 03/01/2013 | Common Stock | 216,666 | (2) | 383,334 | D | ||||
Stock Options | $ 0.12 | 01/15/2010 | A(1) | 216,666 | 03/01/2008(3) | 02/01/2015 | Common Stock | 216,666 | (2) | 600,000 | D | ||||
Stock Options | $ 0.18 | 01/15/2010 | D(1) | 300,000 | 09/04/2009(4) | 03/04/2014 | Common Stock | 300,000 | (2) | 300,000 | D | ||||
Stock Options | $ 0.18 | 01/15/2010 | A(1) | 300,000 | 09/04/2009(4) | 02/01/2015 | Common Stock | 300,000 | (2) | 600,000 | D | ||||
Stock Options | $ 0.12 | 01/15/2010 | D(1) | 50,000 | 12/10/2009(5) | 09/10/2014 | Common Stock | 50,000 | (2) | 550,000 | D | ||||
Stock Options | $ 0.12 | 01/15/2010 | A(1) | 50,000 | 12/10/2009(5) | 02/01/2015 | Common Stock | 50,000 | (2) | 600,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PERKINS JERVIS B AEROGROW INTERNATIONAL, INC. 6075 LONGBOW DR., SUITE 200 BOULDER, CO 80301 |
X | X |
Lissie Stagg, Attorney in Fact | 01/19/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the original option and the grant of a replacement option. The option was amended to extend the expiration date to February 1, 2015. |
(2) | The options were granted by the Board of Directors. |
(3) | The options vest on a 6 month basis over a period of 2 years: 43,334 on March 1, 2008, 43,333 on September 1, 2008, 43,333 on March 1, 2009, 43,333 on September 1, 2009, and 43,333 on March 1, 2010. |
(4) | The 300,000 options were granted on March 4, 2009 and vest pro rata on a quarterly basis over 2 years. |
(5) | The 50,000 options were granted on September 4, 2010 and vest pro rata on a quarterly basis over a period of 2 years. |