SEC Form 4 · accession 0001396677-16-000099
NUTRACEUTICAL INTERNATIONAL CORP · NUTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Stanley E Soper
Officer — VP, Legal Affairs
Period of report
Jul 7, 2016
Accepted (ET)
Jul 8, 2016 · 11:52 am 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 | Jul 7, 2016 | G | 171 | $0.00 | D | 1,428 | D | |
| Common StockF2 | Jul 7, 2016 | A | 171 | $0.00 | A | 19,245 | I | By Trust |
| Common StockF2 | Jul 7, 2016 | A | 86 | $23.195 | A | 19,331 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transfer of shares from direct ownership to indirect ownership by trust.
- F2These 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.
- F3The 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 May 13, 2016.