0001108890-01-500193.txt : 20011128
0001108890-01-500193.hdr.sgml : 20011128
ACCESSION NUMBER: 0001108890-01-500193
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20011031
FILED AS OF DATE: 20011107
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: SPECTRUM ORGANIC PRODUCTS INC
CENTRAL INDEX KEY: 0001034992
STANDARD INDUSTRIAL CLASSIFICATION: CANNED, FRUITS, VEG & PRESERVES, JAMS & JELLIES [2033]
IRS NUMBER: 943076294
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22231
FILM NUMBER: 1776819
BUSINESS ADDRESS:
STREET 1: 133 COPELAND ST
CITY: PETALUMA
STATE: CA
ZIP: 94952
BUSINESS PHONE: 7077788900
MAIL ADDRESS:
STREET 1: 133
STREET 2: COPELAND STREET
CITY: PETALUMA
STATE: CA
ZIP: 94952
FORMER COMPANY:
FORMER CONFORMED NAME: ORGANIC FOOD PRODUCTS INC
DATE OF NAME CHANGE: 19970304
COMPANY DATA:
COMPANY CONFORMED NAME: BATTENDIERI JOHN
CENTRAL INDEX KEY: 0001055402
STANDARD INDUSTRIAL CLASSIFICATION: []
OFFICER
FILING VALUES:
FORM TYPE: 4
BUSINESS ADDRESS:
STREET 1: 600 OLIVE SPRINGS RD
CITY: SOQUEL
STATE: CA
ZIP: 95073
BUSINESS PHONE: 4084768091
MAIL ADDRESS:
STREET 1: 600 OLIVE SPRINGS RD
CITY: SOQUEL
STATE: CA
ZIP: 95073
4
1
form4battendieri110601.txt
DATED 11-06-01
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject of Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person
Battendieri, John R.
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(Last) (First) (Middle)
c/o Organic Ingredients Inc., 335 Spreckles Drive, Suite F
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(Street)
Aptos, CA 95003
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Spectrum Organic Products, Inc. SPOP
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Statement for Month/Year
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[ X ] Director [ ] 10% Owner
[ X ] Officer (give title below) [ ] Other (specify below)
Vice President - Business Development
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7. Individual or Joint/Group Filing
[ 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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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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No par value common stock 10-19-01 S 100,000 D $0.01 3,977,499 D
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly
FORM 4 (continued)
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
of Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Incentive Stock (1) 11-21-10 common 50,000 $.4375 50,000 D
Options stock
(right to buy)
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Explanation of Responses:
(1) Ratable yearly vesting over four years, beginning 11-21-00 through 11-21-04,
subject to certain accelerations as defined in the Plan.
/s/ John R. Battendieri 11-06-01
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedures.