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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sawyer Robert M C/O LIMONEIRA COMPANY 1141 CUMMINGS ROAD SANTA PAULA, CA 93060 |
X |
/s/ Robert M. Sawyer, by Don P. Delmatoff and Joseph D. Rumley as attorneys-in-fact | 11/13/2017 | |
**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 following transactions are in respect to the winding-up of the Sawyer Family Survivor's Trust and the Sawyer Family Bypass Trust upon the death of the surviving settlor pursuant to the terms of such trusts. |
(2) | Reflects shares indirectly held by the Reporting Person in the Sawyer Family Survivor's Trust not previously reported by the Reporting Person. Mr. Sawyer became a co-trustee of the Sawyer Family Survivor's Trust in 2014. The Reporting Person disclaims beneficial ownership of shares of Issuer common stock held by the trust except to the extent of his pecuniary interest therein. |
(3) | Reflects shares indirectly held by the Reporting Person in the Sawyer Family Bypass Trust not previously reported by the Reporting Person. Mr. Sawyer became a co-trustee of the Sawyer Family Bypass Trust in 2014. The Reporting Person disclaims beneficial ownership of shares of Issuer common stock held by the trust except to the extent of his pecuniary interest therein. |
(4) | Shares beneficially owned by the Reporting Person through the Robert McGahie Sawyer Separate GST Trust. |
(5) | Shares beneficially owned by the Reporting Person through the Sawyer Family 2004 Revocable Trust u/t/a/ dated July 22, 2004. |