0001079973-12-000428.txt : 20120604 0001079973-12-000428.hdr.sgml : 20120604 20120604203731 ACCESSION NUMBER: 0001079973-12-000428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120531 FILED AS OF DATE: 20120604 DATE AS OF CHANGE: 20120604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEIERLS E JEFFREY CENTRAL INDEX KEY: 0000942453 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33531 FILM NUMBER: 12887598 MAIL ADDRESS: STREET 1: 73 SOUTH HOLMAN WAY CITY: GOLDEN STATE: CO ZIP: 80401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AeroGrow International, Inc. CENTRAL INDEX KEY: 0001316644 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-BUILDING MATERIALS, HARDWARE, GARDEN SUPPLY [5200] IRS NUMBER: 460510685 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 6075 LONGBOW DRIVE STREET 2: SUITE 200 CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 303-444-7755 MAIL ADDRESS: STREET 1: 6075 LONGBOW DRIVE STREET 2: SUITE 200 CITY: BOULDER STATE: CO ZIP: 80301 4 1 aerogrow_ejpeierls-4.xml OWNERSHIP DOCUMENT X0305 4 2012-05-31 0 0001316644 AeroGrow International, Inc. AERO.PK 0000942453 PEIERLS E JEFFREY 73 SOUTH HOLMAN WAY GOLDEN CO 80401 0 0 1 0 Common Stock 2012-05-31 4 C 0 3000000 0.01 A 8515313 D Common Stock 2012-05-31 4 C 0 20000000 0.01 A 56768754 I By The Peierls Foundation, Inc. Common Stock 2012-05-31 4 C 0 650000 0.01 A 1844985 I By the UD E.F. Peierls for B.E. Peierls Common Stock 2012-05-31 4 C 0 650000 0.01 A 1844985 I By the UD E.F. Peierls for E.J. Peierls Common Stock 2012-05-31 4 C 0 425000 0.01 A 1206337 I By the UD E.S. Peierls for E.F. Peierls et al Common Stock 2012-05-31 4 C 0 1750000 0.01 A 4967266 I By the UD Ethel F. Peierls Charitable Lead Trust Common Stock 2012-05-31 4 C 0 825000 0.01 A 2341712 I By the UD J.N. Peierls for B.E. Peierls Common Stock 2012-05-31 4 C 0 825000 0.01 A 2341712 I By the UD J.N. Peierls for E.J. Peierls Common Stock 2012-05-31 4 C 0 550000 0.01 A 1561141 I By the UW E.S. Peierls for BEP Art VI-Accum Common Stock 2012-05-31 4 C 0 375000 0.01 A 1064415 I By the UW E.S. Peierls for EJP Art VI-Accum Common Stock 2012-05-31 4 C 0 800000 0.01 A 2270751 I By the UW J.N. Peierls E.J. Peierls Common Stock 2012-05-31 4 C 0 800000 0.01 A 2270751 I By the UW J.N. Peierls for B.E. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 3000000 D 2010-05-06 2015-05-06 Common Stock 3000000 0 D Common Stock Warrant 0.01 2012-05-31 4 C 0 20000000 D 2010-05-06 2015-05-06 Common Stock 20000000 0 I By The Peierls Foundation, Inc. Common Stock Warrant 0.01 2012-05-31 4 C 0 650000 D 2010-05-06 2015-05-06 Common Stock 650000 0 I By the UD E.F. Peierls for B.E. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 650000 D 2010-05-06 2015-05-06 Common Stock 650000 0 I By the UD E.F. Peierls for E.J. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 425000 D 2010-05-06 2015-05-06 Common Stock 425000 0 I By the UD E.S. Peierls for E.F. Peierls et al Common Stock Warrant 0.01 2012-05-31 4 C 0 1750000 D 2010-05-06 2015-05-06 Common Stock 1750000 0 I By the UD Ethel F. Peierls Charitable Lead Trust Common Stock Warrant 0.01 2012-05-31 4 C 0 825000 D 2010-05-06 2015-05-06 Common Stock 825000 0 I By the UD J.N. Peierls for B.E. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 825000 D 2010-05-06 2015-05-06 Common Stock 825000 0 I By the UD J.N. Peierls for E.J. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 550000 D 2010-05-06 2015-05-06 Common Stock 550000 0 I By the UW E.S. Peierls for BEP Art VI-Accum Common Stock Warrant 0.01 2012-05-31 4 C 0 375000 D 2010-05-06 2015-05-06 Common Stock 375000 0 I By the UW E.S. Peierls for EJP Art VI-Accum Common Stock Warrant 0.01 2012-05-31 4 C 0 800000 D 2010-05-06 2015-05-06 Common Stock 800000 0 I By the UW J.N. Peierls E.J. Peierls Common Stock Warrant 0.01 2012-05-31 4 C 0 800000 D 2010-05-06 2015-05-06 Common Stock 800000 0 I By the UW J.N. Peierls for B.E. Peierls Warrants exercised pursuant to a temporary exercise price reset to $0.01 per share made available to all of the Issuer's warrant holders through May 31, 2012, as described in the Issuer's Form 8-K filed with the Securities and Exchange Commission on May 8, 2012. Pursuant to the terms of the Issuer's temporary exercise price reset, investors holding specified classes of warrants were eligible to receive 1.5 new warrants for every warrant exercised during the temporary exercise period. The new warrants also had an exercise price of $0.01 per share and an expiration date of May 31, 2012. Mr. Peierls is President and a Director of The Peierls Foundation, Inc. ("Foundation") and may be deemed to indirectly own the securities owned by the Foundation. Mr. Peierls is a Co-Trustee of the UD E.F. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UD E.F. Peierls for E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UD E.S. Peierls for E.F. Peierls et al Trust ("Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the U.D. Ethel F. Peierls Charitable Lead Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UD J.N.. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UW J.N. Peierls for E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for BEP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for EJP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UW J.N. Peierls for E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. Mr. Peierls is a Co-Trustee of the UW J.N. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. /s/ E. Jeffrey Peierls 2012-06-04