Filing Details
- Accession Number:
- 0001396677-13-000025
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-06 16:32:18
- Reporting Period:
- 2013-05-02
- Filing Date:
- 2013-05-06
- Accepted Time:
- 2013-05-06 16:32:18
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1050007 | Nutraceutical International Corp | NUTR | Medicinal Chemicals & Botanical Products (2833) | 870515089 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1265855 | E Stanley Soper | C/O Nutraceutical International Corp 1400 Kearns Blvd 2Nd Fl. Park City UT 84060 | Vp, Legal Affairs | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-05-02 | 202 | $17.79 | 17,829 | No | 4 | A | Indirect | By Trust |
Common Stock | Acquisiton | 2013-05-03 | 2,500 | $12.32 | 20,329 | No | 4 | M | Indirect | By Trust |
Common Stock | Disposition | 2013-05-03 | 2,500 | $18.46 | 17,829 | No | 4 | S | Indirect | By Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Indirect | By Trust |
No | 4 | M | Indirect | By Trust |
No | 4 | S | Indirect | By Trust |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-03 | 2,500 | $0.00 | 2,500 | $12.32 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
17,500 | 2013-12-17 | No | 4 | M | Indirect |
Footnotes
- The purchase reported in this Form 4 was effected pursuant to an enrollment plan under the issuer's Stock Purchase Plan for Employees, Stakeholders and Shareholders adopted by the reporting person on February 7, 2013.
- These shares are held in The Soper Family Trust (the "Trust"), a revocable trust, which reporting person and reporting person's wife are trustees and who with their children are beneficiaries of the Trust. These shares are held in the Trust for the benefit of reporting person and reporting person's wife and children. The reporting person and reporting person's wife are trustees of the Trust. The reporting person may be deemed to have an indirect pecuniary interest in the shares owned by the Trust. The reporting person disclaims beneficial ownership of the shares held by the Trust except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purposes.
- Exercise of options expiring on December 17, 2013.
- The price shown in Column 4 is a weighted average sale price. The price range for the sales is $18.3700 to $18.50000. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- The option vested in six equal installments every six months beginning on June 17, 2004.