Statement of Changes in Beneficial Ownership (4)
May 13 2021 - 3:46PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Fohrd Cynthia Lynn |
2. Issuer Name and Ticker or Trading Symbol
Seneca Foods Corp
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SENEA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP and Chief Admin Officer |
(Last)
(First)
(Middle)
C/O SENECA FOODS CORPORATION, 3736 SOUTH MAIN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/3/2021 |
(Street)
MARION, NY 14505
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Seneca Foods Class A Common | 5/3/2021 | | I(1) | | 134 | D | $47.13 | 1641 | I | By 401(k) Plan (2) |
Seneca Foods Class B Common | 5/3/2021 | | I(1) | | 31 | D | $46.59 | 381 | I | By 401(k) Plan (2) |
Seneca Foods Class A Common | | | | | | | | 5906 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents the liquidation of shares to fund a loan in accordance with the terms of the Seneca Foods Corporation Employees' Savings Plan. |
(2) | These holdings reflect the Reporting Person's units in the Seneca Foods Corporation Stock Fund (the "Stock Fund") under the 401(k) Plan. The Stock Fund is a unitized stock fund that holds shares of Class A common stock
as well as shares of Class B common stock. A cash balance is also maintained in the Stock Fund to facilitate transfers between investment fund options in the 401(k) Plan. The actual number of shares of Class A common stock
and Class B common stock owned by the Reporting Person fluctuates daily based on the Stock Fund's aggregate holdings. The Reporting Person's holdings under the 401(k) Plan also include additional units acquired in
connection with elective deferrals and Company matching contributions since the Reporting Person's last beneficial ownership report. Those transactions were exempt from reporting pursuant to Rule 16a-3(f)(1)(i)(B). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fohrd Cynthia Lynn C/O SENECA FOODS CORPORATION 3736 SOUTH MAIN STREET MARION, NY 14505 |
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| SVP and Chief Admin Officer |
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Signatures
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/s/ Gregory R. Ide. Attorney in Fact | | 5/13/2021 |
**Signature of Reporting Person | Date |
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