SEC Form 4 · accession 0001021561-16-000196
NU SKIN ENTERPRISES, INC. · NUS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
D Matthew Dorny
Officer — General Counsel
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 4:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001021561
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Dec 9, 2016 | G | 2,000 | $0.00 | D | 41,230 | D | |
| Class A Common Stock | Dec 12, 2016 | M | 3,750 | $28.09 | A | 44,980 | D | |
| Class A Common Stock | Dec 12, 2016 | M | 3,750 | $28.09 | A | 48,730 | D | |
| Class A Common Stock | Dec 12, 2016 | M | 6,250 | $25.89 | A | 54,980 | D | |
| Class A Common Stock | Dec 12, 2016 | M | 3,635 | $25.57 | A | 58,615 | D | |
| Class A Common StockF2 | Dec 12, 2016 | S | 17,385 | $50.11 | D | 41,230 | D | |
| Class A Common Stock | Dec 13, 2016 | M | 2,615 | $25.57 | A | 43,845 | D | |
| Class A Common Stock | Dec 13, 2016 | S | 2,615 | $50.00 | D | 41,230 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $28.09 | Dec 12, 2016 | M | 3,750 | D | — | Mar 2, 2017 | Class A Common Stock | 3,750 | 0 | D |
| Employee Stock Option (right to buy)F3 | $28.09 | Dec 12, 2016 | M | 3,750 | D | — | Mar 2, 2017 | Class A Common Stock | 3,750 | 0 | D |
| Employee Stock Option (right to buy)F3 | $25.89 | Dec 12, 2016 | M | 6,250 | D | — | Jun 28, 2017 | Class A Common Stock | 6,250 | 0 | D |
| Employee Stock Option (right to buy)F3 | $25.57 | Dec 12, 2016 | M | 3,635 | D | — | Aug 31, 2017 | Class A Common Stock | 3,635 | 2,615 | D |
| Employee Stock Option (right to buy)F3 | $25.57 | Dec 12, 2016 | M | 2,615 | D | — | Aug 31, 2017 | Class A Common Stock | 2,615 | 0 | D |
Explanation of responses
- F1Sale pursuant to a 10b5-1 plan adopted by the Reporting Person.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 50.00 to 50.39, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
- F3Currently exercisable in full.