Statement of Changes in Beneficial Ownership (4)
December 31 2020 - 04:33PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Fortunato Joe |
2. Issuer Name and Ticker or Trading
Symbol Sprouts Farmers Market, Inc. [ SFM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
5455 EAST HIGH STREET, SUITE 111 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/30/2020
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(Street)
PHOENIX, AZ 85054
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value $0.001 per
share |
12/30/2020 |
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G(1) |
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15000 |
A |
$0.00 |
15000 |
I |
Fortunato 2020 Irrevocable
Trust (2) |
Common Stock, par value $0.001 per
share |
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30169 (3) |
D |
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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) |
The reported transaction
represents an irrevocable transfer of common stock by gift from a
trust of which the reporting person was neither trustee nor
beneficiary to a trust of which the reporting person is the
trustee. |
(2) |
These shares of common stock
are held by the Fortunato 2020 Irrevocable Trust, an entity
established by the reporting person for estate planning purposes.
The reporting person (i) may be deemed to have beneficial ownership
of the shares owned of record thereby, and (ii) has sole voting and
investment power with respect to such shares. |
(3) |
Includes 24,475 shares of
common stock and 5,694 restricted stock units. Each restricted
stock unit represents the right to receive, upon vesting, one share
of common stock. The restricted stock units will vest on May 12,
2021, assuming continued service through such vest
date. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Fortunato Joe
5455 EAST HIGH STREET
SUITE 111
PHOENIX, AZ 85054 |
X |
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Signatures
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/s/ Brandon F. Lombardi, Attorney-in-Fact for
Joseph Fortunato |
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12/31/2020 |
**Signature of Reporting
Person |
Date |