Amended Statement of Ownership (sc 13g/a)
September 22 2016 - 5:00PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of
1934
(Amendment No. 3) *
Natural Alternatives International, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
638842302
(CUSIP Number)
September 21, 2016
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate the
rule pursuant to which this Schedule is filed:
(Page 1 of 6 Pages)
_____________
* The remainder of this cover page shall be filled out for a
reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover
page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
|
|
|
|
CUSIP No.
|
638842302
|
13G (Amendment No. 3)
|
Page 2 of 6
|
|
|
|
|
1
.
|
Name of Reporting Persons
Edward Borg
I.R.S. Identification No. of Above Persons (Entities Only)
N/A
|
2.
|
Check the appropriate box if a member of a group*
|
(a)
o
(b)
o
|
3.
|
SEC use only
|
4
.
|
Citizenship
United States
|
Number of
Shares
Beneficially Owned by
Each
Reporting
Person with
|
5.
|
Sole Voting Power
545,573
1
|
6.
|
Shared Voting Power
22,847
1
|
7.
|
Sole Dispositive Power
545,573
1
|
8.
|
Shared Dispositive Power
22,847
1
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
568,420
1
|
10.
|
Check Box if the Aggregate Amount in Row 9 excludes Certain
Shares
*
|
¨
|
11.
|
Percent of Class Represented by Amount in Row 9
8.28%
|
12.
|
Type of Reporting Person*
IN
|
1
See Item 4.
|
|
|
|
CUSIP No.
|
638842302
|
13G
(Amendment No. 3)
|
Page 3 of 6
|
|
|
|
|
Item 1(a).
|
|
Name of Issuer:
|
|
|
Natural Alternatives International,
Inc
|
|
|
|
Item 1(b).
|
|
Address of Issuer's Principal Executive Offices
:
|
|
|
1185 Linda Vista Drive
San Marcos, California 92078
|
|
|
|
Item 2(a).
|
|
Name of Person Filing:
|
|
|
Edward Borg
|
|
|
|
Item 2(b).
|
|
Address of Principal Business Office, or if None, Residence
:
|
|
|
600 South US Highway 1, Apt. 609
Jupiter, Florida 33477
|
|
|
|
Item 2(c).
|
|
Citizenship
:
|
|
|
United States citizen
|
|
|
|
Item 2(d).
|
|
Title of Class of Securities:
|
|
|
Common Stock
|
|
|
|
Item 2(e).
|
|
CUSIP Number
:
|
|
|
638842302
|
|
|
|
Item 3.
|
|
If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
|
|
|
|
(a)
|
|
o
|
Broker or dealer registered under Section 15 of the Exchange Act.
|
|
|
|
|
(b)
|
|
o
|
Bank as defined in Section 3(a)(6) of the Exchange Act.
|
|
|
|
|
(c)
|
|
o
|
Insurance company as defined in Section 3(a)(19) of the Exchange Act.
|
|
|
|
|
(d)
|
|
o
|
Investment company registered under Section 8 of the Investment Company Act.
|
|
|
|
|
(e)
|
|
o
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
|
|
|
(f)
|
|
o
|
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
|
|
|
|
|
(g)
|
|
o
|
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
|
|
|
|
|
(h)
|
|
o
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
|
|
|
|
|
(i)
|
|
o
|
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
|
|
|
|
|
(j)
|
|
o
|
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
|
|
|
|
|
(k)
|
|
o
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
|
|
|
|
If filing as a non-U.S. institution in accordance
with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________
|
|
|
|
|
CUSIP No.
|
638842302
|
13G (Amendment No. 3)
|
Page 4 of 6
|
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
|
(a)
|
Amount beneficially owned: 568,420 shares
|
|
(b)
|
Percent of class: 8.28%
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote: 545,573 shares
|
|
(ii)
|
Shared power to vote or to direct the vote: 22,847
shares
|
|
(iii)
|
Sole power to dispose or to direct the disposition
of: 545,573 shares
|
|
(iv)
|
Shared power to dispose or to direct the disposition
of: 22,847 shares
|
As of the date of filing this
statement Mr. Borg may be deemed to be the beneficial owner of an aggregate of 568,420 shares as follows: (i) Mr.
Borg beneficially owns an aggregate of 545,573 shares of common stock directly (542,773 in a Keogh account and 2,800 in
an IRA account); and (ii) Mr. Borg may be deemed to be the indirect beneficial owner of the 22,847 shares held by his wife,
Barbara B. Borg.
According to the Company’s Annual Report on Form
10-K filed on September 19, 2016, as of September 8, 2016, there were 6,868,628 shares of Common Stock issued and
outstanding. Accordingly, these 568,420 shares represent, to the best knowledge of Mr. Borg, as of the date of filing
of this statement, approximately 8.28% of the issued and outstanding shares of Common Stock.
Mr. Borg has the sole power to vote or direct the vote and
to dispose or direct the disposition of the 545,573 shares owned directly by him. Mr. Borg may be deemed to have shared
power to vote or direct the vote and shared power to dispose or direct the disposition of the 22,847 shares owned by his wife.
Mr. Borg disclaims beneficial ownership of the 22,847 shares currently held by his wife.
|
|
Item 5.
|
Ownership of Five Percent or Less of a Class.
|
If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities check the following
o
.
N/A
|
|
|
|
CUSIP No.
|
638842302
|
13G (Amendment No. 3)
|
Page 5 of 6
|
|
|
Item 6.
|
Ownership of More Than Five Percent on Behalf of Another Person.
|
If any other person is known to have the
right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement
to that effect should be included in response to this item and, if such interest relates to more than five percent of the class,
such person should be identified. A listing of the shareholders of an investment company registered under the Investment
Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
N/A
|
|
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|
If a parent holding company or Control
person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating
the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed
this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
N/A
|
|
Item 8.
|
Identification and Classification of Members of the Group.
|
If a group has filed this schedule pursuant
to ss.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification
of each member of the group. If a group has filed this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d), attach an exhibit
stating the identity of each member of the group.
N/A
|
|
Item 9.
|
Notice of Dissolution of Group.
|
Notice of dissolution of a group may be
furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security
reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
N/A
"By signing below I certify that,
to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of
or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection
with a nomination under §240.14a–11."
|
|
|
|
CUSIP No.
|
638842302
|
13G (Amendment No. 3)
|
Page 6 of 6
|
SIGNATURE
After reasonable inquiry and to the best
of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
/s/ Edward Borg
|
|
Edward Borg
|
|
Date: September 22, 2016
Natural Alternatives (NASDAQ:NAII)
Historical Stock Chart
From Aug 2024 to Sep 2024
Natural Alternatives (NASDAQ:NAII)
Historical Stock Chart
From Sep 2023 to Sep 2024