SEC Form 4/A · accession 0001104659-16-098908
NATURAL HEALTH TRENDS CORP · NHTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
George K Broady
Director
Period of report
Nov 1, 2012
Accepted (ET)
Feb 22, 2016 · 5:49 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 26, 2012 | G | 2,419,750 | $0.00 | D | 122,560 | 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 StockF1,F2 | — | Dec 26, 2012 | G | 61,693 | D | — | — | Common Stock | 61,693 | 0 | D |
Explanation of responses
- F1Added transaction in which reporting person transferred shares to trust of which the reporting person is not a beneficial owner. Holdings reported in subsequent Forms 4 are deemed amended by subtracting the number of shares so transferred.
- F2The Series A Convertible Preferred Stock has no expiration date. The Series A Convertible Preferred Stock is subject to mandatory conversion if the average closing price of NHTC Common Stock over a consecutive 6-month period equals or exceeds $10.00 per share.