SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Sawyer Robert M

(Last) (First) (Middle)
C/O LIMONEIRA COMPANY
1141 CUMMINGS ROAD

(Street)
SANTA PAULA CA 93060

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Limoneira CO [ LMNR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/21/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
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
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 11/21/2017 G(1) V 53,925 D $0 0 I By Trust(2)
Common Stock 11/21/2017 G(1) V 8,504 D $0 0 I By Trust(3)
Common Stock 60,134 I By Trust(4)
Common Stock 60,010 I By Trust(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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 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 Bypass Trust. 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.
3. Reflects shares indirectly held by the Reporting Person in the Sawyer Family Survivor's Trust. 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.
4. Shares beneficially owned by the Reporting Person through the Sawyer Family 2004 Revocable Trust u/t/a/ dated July 22, 2004.
5. Shares beneficially owned by the Reporting Person through the Robert McGahie Sawyer Separate GST Trust.
/s/ Robert M. Sawyer, by Don P. Delmatoff and Joseph D. Rumley as attorneys-in-fact 11/22/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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