Peierls Brian E 4

Accession 0001079973-12-000430

CIK 0001316644other

View on SEC.gov Company Profile

Filed

Jun 3, 8:00 PM ET

Accepted

Jun 4, 8:39 PM ET

Size

28.3 KB

Accession

0001079973-12-000430

Insider Transaction Report

Form 4

Period: 2012-05-31

AeroGrow International, Inc.AERO.PK

Peierls Brian E

10% Owner

Transactions

Conversion
Common Stock Warrant
2012-05-31−20,000,000→ 0 total(indirect: By Foundation)
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (20,000,000 underlying)
Conversion
Common Stock Warrant
2012-05-31−450,000→ 0 total(indirect: By Trust)
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (450,000 underlying)
Conversion
Common Stock Warrant
2012-05-31−550,000→ 0 total(indirect: By the UW E.S. Peierls for BEP Art VI-Accum)
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (550,000 underlying)
Conversion
Common Stock
2012-05-31$0.01/sh+3,000,000$30,000→ 8,515,313 total
Conversion
Common Stock
2012-05-31$0.01/sh+550,000$5,500→ 1,561,141 total(indirect: By the UW E.S. Peierls for BEP Art VI-Accum)
Conversion
Common Stock
2012-05-31$0.01/sh+450,000$4,500→ 1,277,297 total(indirect: By Trust)
Conversion
Common Stock Warrant
2012-05-31−3,000,000→ 0 total
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (3,000,000 underlying)
Conversion
Common Stock Warrant
2012-05-31−1,750,000→ 0 total(indirect: By Trust)
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (1,750,000 underlying)
Conversion
Common Stock
2012-05-31$0.01/sh+20,000,000$200,000→ 56,768,754 total(indirect: By Foundation)
Conversion
Common Stock
2012-05-31$0.01/sh+1,750,000$17,500→ 4,967,266 total(indirect: By Trust)
Conversion
Common Stock
2012-05-31$0.01/sh+375,000$3,750→ 1,064,415 total(indirect: By the UW E.S. Peierls for EJP Art VI-Accum)
Conversion
Common Stock Warrant
2012-05-31−375,000→ 0 total(indirect: By the UW E.S. Peierls for EJP Art VI-Accum)
Exercise: $0.01From: 2010-05-06Exp: 2015-05-06→ Common Stock (375,000 underlying)

Footnotes (6)

[F1]Warrants exercised pursuant to a temporary exercise price reset to $0.01 per share made available to all of the Issuer's warrant holders through May 31, 2012, as described in the Issuer's Form 8-K filed with the Securities and Exchange Commission on May 8, 2012. Pursuant to the terms of the Issuer's temporary exercise price reset, investors holding specified classes of warrants were eligible to receive 1.5 new warrants for every warrant exercised during the temporary exercise period. The new warrants also had an exercise price of $0.01 per share and an expiration date of May 31, 2012.
[F2]Mr. Peierls is Vice President and a Director of The Peierls Foundation, Inc. ("Foundation") and may be deemed to indirectly own the securities owned by the Foundation.
[F3]Mr. Peierls is a Co-Trustee of the U.D. Ethel F. Peierls Charitable Lead Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust.
[F4]Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for BEP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust.
[F5]Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for EJP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust.
[F6]Mr. Peierls is the Sole Trustee of the Peierls By-Pass Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust.

Documents

1 file

4
aerogrow_bpeierls-4.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

AeroGrow International, Inc.

CIK 0001316644

→

Entity typeother

Related Parties

filerCIK 0001327205

Filing Metadata

Form type: 4
Filed: Jun 3, 8:00 PM ET
Accepted: Jun 4, 8:39 PM ET
Size: 28.3 KB

View on SEC.gov