SEC Form 4 · accession 0001021561-18-000032
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
Mar 2, 2018
Accepted (ET)
Mar 6, 2018 · 5:48 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 StockF1 | Mar 4, 2018 | F | 331 | $72.35 | D | 44,399 | D | |
| Class A Common Stock | Mar 5, 2018 | M | 3,000 | $39.35 | A | 47,399 | D | |
| Class A Common StockF2,F3 | Mar 5, 2018 | S | 3,000 | $72.69 | D | 44,399 | 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)F4 | $30.63 | Mar 2, 2018 | A | 16,138 | A | Mar 2, 2018 | Mar 2, 2023 | Class A Common Stock | 16,138 | 32,934 | D |
| Employee Stock Option (Right to Buy)F5 | $50.68 | Mar 2, 2018 | A | 8,339 | A | Mar 4, 2018 | Mar 4, 2024 | Class A Common Stock | 8,339 | 8,339 | D |
| Employee Stock Option (Right to Buy)F6 | $39.35 | Mar 5, 2018 | M | 3,000 | D | — | Aug 15, 2018 | Class A Common Stock | 3,000 | 3,250 | D |
Explanation of responses
- F1Shares witheld to cover tax witholding obligations related to the vesting of previously granted restricted stock units.
- F2Sale pursuant to a 10b5-1 plan adopted by the Reporting Person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.32 to $73.02, 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.
- F4On March 2, 2016, the reporting person was granted stock options to purchase shares of Class A Common Stock, the vesting of which was contingent on Nu Skin Enterprises, Inc.'s satisfaction of certain performance criteria. On March 2, 2018, the performance criteria were met, resulting in the vesting of the amount shown above.
- F5On March 4, 2017, the reporting person was granted stock options to purchase shares of Class A Common Stock, the vesting of which was contingent on Nu Skin Enterprises, Inc.'s satisfaction of certain performance criteria. On March 2, 2018, the performance criteria were met, resulting in the amount shown above becoming eligible for vesting.
- F6Currently exercisable in full.