SEC Form 4 · accession 0001104659-16-098906

NATURAL HEALTH TRENDS CORP · NHTC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

George Vincent Broady

10% Owner

John Marvin Broady

10% Owner

Magdalena Steinbrunner

10% Owner

Jane Eleanor Broady 2012 Irrevocable Trust

10% Owner

Period of report

Jun 11, 2012

Accepted (ET)

Feb 22, 2016 · 5:47 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000912061

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Jun 11, 2014	G	20,000	$0.00	D	2,399,750	D
Common Stock	Sep 3, 2014	G	4,250	$0.00	D	2,395,500	D
Common Stock	Sep 29, 2014	G	35,000	$0.00	D	2,360,500	D
Common Stock^F1	Nov 18, 2014	C	61,693	—	A	2,422,193	D
Common Stock	Dec 3, 2014	D	14,565	$13.23	D	2,407,628	D
Common Stock	Feb 18, 2015	G	2,500	$0.00	D	2,405,128	D
Common Stock	Apr 14, 2015	G	10,000	$0.00	D	2,395,128	D
Common Stock	May 20, 2015	S	4,745	$33.00	D	2,390,383	D
Common Stock	May 21, 2015	S	75,081	$30.16	D	2,315,302	D
Common Stock	May 21, 2015	S	50,000	$33.20	D	2,265,302	D
Common Stock	May 22, 2015	S	20,174	$34.71	D	2,245,128	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Convertible Stock^F1	—	Nov 18, 2014	C	61,693	D	—	—	Common Stock	61,693	0	D

Explanation of responses

F1Conversion, exempt pursuant to Rule 16b-6, of Series A Convertible Preferred Stock into NHTC Common Stock on a 1-for-1 basis; the Series A Convertible Preferred Stock had no expiration date. The Series A Convertible Preferred Stock was subject to mandatory conversion because the average closing price of NHTC Common Stock over a consecutive 6-month period equaled or exceeded $10.00 per share.

Remarks

Magdalena Steinbrunner, Geoge Vincent Broady and John Marvin Broady are no longer subject to Section 16 but The Jane Eleanor Broady 2012 Irrevocable Trust remains subject to Section 16.