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Isely Raquel M. – ‘4’ for 10/15/20 re: Natural Grocers by Vitamin Cottage, Inc.

On:  Monday, 10/19/20, at 6:01pm ET   ·   For:  10/15/20   ·   Accession #:  1437749-20-21290   ·   File #:  1-35608

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

10/19/20  Isely Raquel M.                   4                      1:8K   Natural Grocers by Vitamin C… Inc RDG Filings/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- rdgdoc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-10-15 </periodOfReport>
<issuer>
<issuerCik> 0001547459 </issuerCik>
<issuerName> Natural Grocers by Vitamin Cottage, Inc. </issuerName>
<issuerTradingSymbol> NGVC </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001675822 </rptOwnerCik>
<rptOwnerName> Isely Raquel M. </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O NATURAL GROCERS BY VITAMIN COTTAGE </rptOwnerStreet1>
<rptOwnerStreet2> 12612 WEST ALAMEDA PARKWAY </rptOwnerStreet2>
<rptOwnerCity> LAKEWOOD </rptOwnerCity>
<rptOwnerState> CO </rptOwnerState>
<rptOwnerZipCode> 80228 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isOther> 1 </isOther>
<otherText> 13D Group Member </otherText>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-10-15 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 100 </value>
<footnoteId id="F1"/>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 107174 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-10-15 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> F </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F2"/>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 34 </value>
</transactionShares>
<transactionPricePerShare>
<value> 11.84 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 107140 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Restricted Stock Units </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 0 </value>
<footnoteId id="F3"/>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-10-15 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 100 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<value> 2020-10-15 </value>
</exerciseDate>
<expirationDate>
<value> 2020-10-15 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 100 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 4015 </value>
<footnoteId id="F4"/>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="F1"> Represents shares of NGVC common stock issued to the reporting person upon the vesting of 100 restricted stock units on October 15, 2020. </footnote>
<footnote id="F2"> 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 vesting of the restricted stock units. </footnote>
<footnote id="F3"> Each restricted stock unit represents a contingent right to receive one share of NGVC common stock. </footnote>
<footnote id="F4"> Of these restricted stock units: (i) 205 will vest on each of November 1, 2020, 2021 and 2022; (ii) 200 will vest on each of June 27, 2021, 2022 and 2023; (iii) 100 will vest on each of October 15, 2021, 2022, 2023 and 2024; and (iv) 480 will vest on each of October 1, 2021, 2022, 2023, 2024 and 2025. </footnote>
</footnotes>
<remarks> The Reporting Person is a party to a Stockholders Agreement that contains voting agreements and thus is a member of a Schedule 13D group that beneficially owns more than 10% of the issuer's common stock. The number of shares identified as beneficially owned by the Reporting Person excludes shares of Common Stock deemed to be beneficially owned by her solely because of this Stockholders Agreement. </remarks>
<ownerSignature>
<signatureName> /s/ Kemper Isely, by Power of Attorney </signatureName>
<signatureDate> 2020-10-19 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001437749-20-021290   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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