SEC Form 4 · accession 0001396677-15-000024
NUTRACEUTICAL INTERNATIONAL CORP · NUTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stanley E Soper
Officer — VP, Legal Affairs
Period of report
Apr 24, 2015
Accepted (ET)
Apr 28, 2015 · 3:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001050007
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 24, 2015 | M | 100 | $14.22 | A | 100 | D | |
| Common Stock | Apr 24, 2015 | S | 100 | $20.00 | D | 0 | D | |
| Common Stock | Apr 27, 2015 | M | 3,243 | $14.22 | A | 3,243 | D | |
| Common StockF3 | Apr 27, 2015 | S | 3,243 | $20.0038 | D | 0 | 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 | $14.22 | Apr 24, 2015 | M | 100 | D | Sep 30, 2005 | Sep 30, 2015 | Common Stock | 100 | 20,546 | D |
| Employee Stock Option (right to buy)F4 | $14.22 | Apr 27, 2015 | M | 3,243 | D | Sep 30, 2005 | Sep 30, 2015 | Common Stock | 3,243 | 17,312 | D |
Explanation of responses
- F1Exercise of options expiring on September 30, 2015.
- F2The sale reported in this Form 4 effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on February 9, 2015.
- F3The price shown in Column 4 is a weighted average sale price. The price range for the sales is $20.00 to $20.03. 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.
- F4The option immediately vested at the time of grant.