-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, H1trlhQTXLRStB6InsAq3b4CqwSr+VRPH5Pk5UTSDwStuUeE46Ue+pOkKL/dO5LL gg4i153yxWP6bAds+6iCNw== 0000812128-03-000012.txt : 20030121 0000812128-03-000012.hdr.sgml : 20030120 20030117175537 ACCESSION NUMBER: 0000812128-03-000012 CONFORMED SUBMISSION TYPE: 5/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030117 FILED AS OF DATE: 20030121 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SANDERSON FARMS INC CENTRAL INDEX KEY: 0000812128 STANDARD INDUSTRIAL CLASSIFICATION: POULTRY SLAUGHTERING AND PROCESSING [2015] IRS NUMBER: 640615843 STATE OF INCORPORATION: MS FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 5/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-14977 FILM NUMBER: 03518484 BUSINESS ADDRESS: STREET 1: 225 N 13TH AVE STREET 2: PO BOX 988 CITY: LAUREL STATE: MS ZIP: 39441 BUSINESS PHONE: 6016494030 MAIL ADDRESS: STREET 1: 225 N 13TH AVENUE STREET 2: PO BOX 988 CITY: LAUREL STATE: MS ZIP: 39441 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GRIMES JAMES A CENTRAL INDEX KEY: 0001090146 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5/A BUSINESS ADDRESS: STREET 1: C/O SANDERSON FARMS INC STREET 2: 225 LAUREL AVE CITY: LAUREL STATE: MS ZIP: 39441 BUSINESS PHONE: 6016494030 MAIL ADDRESS: STREET 1: C/O SANDERSON FARM STREET 2: 225 N 13TH AVE CITY: LAUREL STATE: MS ZIP: 39441-0998 5/A 1 grimesnewfform5a.txt FORM-5A FOR JAMES A. GRIMES ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0362 Expires: January 31, 2005 Estimated average burden hours per response.........1.0 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 5/A Amendment to the Form 5 that was filed on January 17, 2003. Failed to type signature on signature line. ANNUAL 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(h) of the Investment Company Act of 1940 |_| Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |X| Form 3 Holdings Reported |X| Form 4 Transactions Reported ________________________________________________________________________________ 1. Name and Address of Reporting Person* Grimes James A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) P. O. Box 988 - -------------------------------------------------------------------------------- (Street) Laurel Mississippi 39441-0988 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Sanderson Farms, Inc. (SAFM) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year October 31, 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |_| Director |_| 10% Owner |X| Officer (give title below) |_| Other (specify below) Chief Accounting Officer/Secretary ____________________________________________________________________ ________________________________________________________________________________ 7. 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 ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 2A. 3. Disposed of (D) Beneficially Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Owned Direct Nature of Trans- Execution Code ------------------------------- at the End (D) or Indirect 1. action Date, if (Instr. 8) (A) of Issuer's Indirect Beneficial Title of Security Date any ------------ or Fiscal Year (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Amount (D) Price (Instr. 3 & 4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/05/02 M4 7,500 A $10.875 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 3/05/02 S4 7,500 D $24.65 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 6/24/02 M4 5,000 A $15.00 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 6/24/02 S4 5,000 D $24.50 0 D - ------------------------------------------------------------------------------------------------------------------------------------ ESOP Common Stock 3(1) 2,391 I Allocation - ------------------------------------------------------------------------------------------------------------------------------------ ESOP Common Stock 3 8,995(2) I Allocation - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
(1) There were 2,391 shares allocated to the reporting person's ESOP account when he became an executive officer of Sanderson Farms, Inc. on November 1, 1993. (2) Reflects total amount of shares allocated to reporting person's ESOP account as of October 31, 2002. * If the form is filed by more than one reporting person, see instruction 4(b)(v). FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship 2. of of Conver- 5. 7. Deriv- Deriv- 11. sion Number of Title and Amount ative ative Nature or Derivative 6. of Underlying 8. Secur- Secur- of Exer- 3A. 4. Securities Date Securities Price ities ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Bene- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ficially (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Owned In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- at End direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity of Year (I) ship Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity yy) yy) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $10.875 7/25/96 A 7,500 7/25/97* 7/24/02 Stock 7,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $15.00 7/24/97 A 5,000 7/24/98* 7/23/07 Stock 5,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $10.875 3/05/02 M4 7,500 7/25/97* 7/24/02 Stock 7,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $15.00 6/24/02 M4 5,000 7/24/98* 7/23/07 Stock 5,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $13.00 4/23/98 A 5,000 4/23/99* 4/22/08 Stock 5,000 5,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) $ 7.46875 4/24/00 A 5,000 4/24/01* 4/23/10 Stock 5,000 5,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right to Buy) $ 7.188 5/01/00 A 7,500 5/01/01* 4/30/10 Stock 7,500 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) * 11.10 4/27/01 A 7,500 4/27/02* 4/26/11 Stock 7,500 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock Options (Right Common to Buy) * 18.55 7/25/02 A 7,500 7/25/03* 7/24/12 Stock 7,500 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: *25% of the options vest on the date indicated, and an additional 25% vest each year thereafter until fully vested. /s/James A. Grimes January 17, 2003 - --------------------------------------------- ----------------------- **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 procedure. -----END PRIVACY-ENHANCED MESSAGE-----