Filing Details
- Accession Number:
- 0001437749-21-006536
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-18 17:44:30
- Reporting Period:
- 2021-03-15
- Accepted Time:
- 2021-03-18 17:44:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 787253 | Natural Alternatives International Inc | NAII | Medicinal Chemicals & Botanical Products (2833) | 841007839 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1307087 | G Alan Dunn | 1535 Faraday Avenue Carlsbad CA 92008 | Yes | No | 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 | 2021-03-15 | 4,000 | $0.00 | 53,328 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2021-03-16 | 10,000 | $3.52 | 63,328 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-16 | 2,117 | $16.63 | 61,211 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2021-03-16 | 10,000 | $0.00 | 10,000 | $3.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-06-13 | 2021-06-12 | No | 4 | M | Direct |
Footnotes
- This transaction represents a grant of restricted stock pursuant to the Issuer's 2020 Omnibus Incentive Plan.
- One third (1,334 shares) of the restricted stock vests on March 7, 2022; one third (1,333 shares) of the restricted stock vests on March 7, 2023, and the final third (1,333 shares) of the restricted stock vests on March 7, 2024.
- Represents the Director's net exercise of an Option for 10,000 shares. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price using shares the reporting person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person surrendered 2117 shares underlying the option and acquired ownership of an additional 7,883 shares of common stock.
- The shares were valued for determination of the exercise consideration at the closing price of the shares on Nasdaq on the day before exercise
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