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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Buy (3) | $ 19.74 | 12/02/2004 | 12/02/2013 | Class A Common | 1,687 | 1,687 | D | ||||||||
Option to Buy (3) | $ 28.01 | 11/30/2005 | 11/30/2014 | Class A Common | 1,537 | 1,537 | D | ||||||||
Option to Buy (3) | $ 28.94 | 11/29/2006 | 11/29/2015 | Class A Common | 1,538 | 1,538 | D | ||||||||
Option to Buy (3) | $ 36.67 | 11/28/2007 | 11/28/2016 | Class A Common | 1,538 | 1,538 | D | ||||||||
Option to Buy (3) | $ 42.45 | 11/26/2008 | 11/26/2017 | Class A Common | 1,538 | 1,538 | D | ||||||||
SAR (4) | $ 35.12 | 10/31/2009 | 10/31/2018 | Class A Common | 1,500 | 1,500 | D | ||||||||
SAR (4) | $ 26.66 | 12/01/2010 | 12/01/2019 | Class A Common | 1,125 | 1,125 | D | ||||||||
SAR (4) | $ 36.86 | 11/30/2011 | 11/30/2020 | Class A Common | 1,500 | 1,500 | D | ||||||||
SAR (4) | $ 41.82 | 11/30/2012 | 11/30/2021 | Class A Common | 1,500 | 1,500 | D | ||||||||
SAR (4) | $ 36.41 | 11/27/2012 | A | 1,500 | 11/27/2013 | 11/27/2022 | Class A Common | 1,500 | $ 0 | 1,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KAYSER KRAIG H 3736 SOUTH MAIN STREET MARION, NY 14505 |
X |
Timothy P. Balkin | 11/28/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Owned by Seneca Foods Foundation of which Mr. Kayser is an officer, director and shareholder. Mr. Kayser disclaims any beneficial interest in these shares. |
(2) | Owned by Seneca Foods Corporation Employee's Pension Trust, of which Mr. Kayser is a beneficiary and one of the trustees with joint voting power. Mr. Kayser's beneficial interest is limited to receiving certain retirement benefits from employment. |
(3) | Option to buy granted under the 1998/2003 Incentive Stock Option Plan. |
(4) | Stock Appreciation Right (SAR) granted under the 2008 Stock Appreciation Rights Plan. |