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