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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Shares | $ 7.80 | 08/02/2018 | A | 25,000 | 08/02/2018 | 08/02/2028 | Common Shares | 25,000.00 | $ 0 | 25,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jia Hongfei C/O NATURE'S SUNSHINE PRODUCTS, INC. 2901 WEST BLUEGRASS BLVD. STE 100 LEHI, UT 84043 |
X |
/s/ Joseph W. Baty as attorney-in-fact for Hongfei Jia | 08/06/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This grant of restricted stock units (RSUs) represents the annual grant of RSUs to Mr. Jia, and reflects that Mr. Jia did not receive an annual grant during 2017. Each RSU represents the right to receive one share of NATR Common Stock. These RSUs vest in twelve equal monthly installments from the initial grant date through August 2, 2018, subject to Mr. Jia's continued service on the Board of Directors, and accelerate in full upon a change in control. The vested shares are delivered upon the earlier of the director's separation from the Board of Directors or the expiration of a two-year period subsequent to the vesting of the entire RSU grant. |