- Statement of Changes in Beneficial Ownership (4)
September 24 2010 - 5:20PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
NEUBERGER CHRISTOPHER B
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2. Issuer Name
and
Ticker or Trading Symbol
NUTRACEUTICAL INTERNATIONAL CORP
[
NUTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP, Marketing & Sales
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(Last)
(First)
(Middle)
NUTRACEUTICAL INTERNATIONAL CORPORATION, 1400 KEARNS BOULEVARD 2ND FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/22/2010
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(Street)
PARK CITY, UT 84060
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/22/2010
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M
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2500
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A
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$3.5
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8870.263
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D
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Common Stock
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9/22/2010
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S
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2500
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D
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$15.15
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6370.263
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D
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Common Stock
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9/23/2010
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M
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2500
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A
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$3.5
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8870.263
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D
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Common Stock
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9/23/2010
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S
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2500
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D
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$14.8722
(1)
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6370.263
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D
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Common Stock
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9/24/2010
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M
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2500
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A
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$3.5
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8870.263
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D
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Common Stock
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9/24/2010
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S
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2500
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D
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$15.0438
(2)
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6370.263
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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$3.5
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9/22/2010
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M
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2500
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(3)
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12/13/2011
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Common Stock
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2500
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$0
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7500
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D
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Employee Stock Option (right to buy)
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$3.5
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9/23/2010
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M
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2500
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(3)
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12/13/2011
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Common Stock
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2500
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$0
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5000
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D
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Employee Stock Option (right to buy)
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$3.5
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9/24/2010
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M
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2500
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(3)
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12/13/2011
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Common Stock
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2500
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$0
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2500
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D
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Explanation of Responses:
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(
1)
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The price shown in Column 4 is a weighted average sale price. The price range for the sales is $14.86 to $15.10. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
2)
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The price shown in Column 4 is a weighted average sale price. The price range for the sales is $15.0275 to $15.0625. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
3)
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The option vested in six equal installments every six months beginning on June 13, 2002.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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NEUBERGER CHRISTOPHER B
NUTRACEUTICAL INTERNATIONAL CORPORATION
1400 KEARNS BOULEVARD 2ND FLOOR
PARK CITY, UT 84060
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VP, Marketing & Sales
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Signatures
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/s/ Alison Pitt, attorney in fact
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9/24/2010
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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