- Statement of Changes in Beneficial Ownership (4)
January 13 2010 - 3:58PM
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
*
KAMIL HARVEY
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2. Issuer Name
and
Ticker or Trading Symbol
NBTY INC
[
NTY
]
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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)
President and CFO
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(Last)
(First)
(Middle)
C/O NBTY, INC., 2100 SMITHTOWN AVE.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/11/2010
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(Street)
RONKONKOMA, NY 11779
(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
(1)
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1/11/2010
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S
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500
(2)
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D
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$45.00
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775824
(3)
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D
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Common Stock
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1/12/2010
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S
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31876
(2)
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D
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$45.00
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743948
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D
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Common Stock
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1/12/2010
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S
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2200
(2)
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D
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$45.01
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741748
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D
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Common Stock
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1/12/2010
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S
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2968
(2)
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D
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$45.02
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738780
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D
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Common Stock
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1/12/2010
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S
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6005
(2)
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D
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$45.03
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732775
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D
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Common Stock
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1/12/2010
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S
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700
(2)
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D
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$45.04
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732075
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D
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Common Stock
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1/12/2010
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S
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2300
(2)
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D
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$45.05
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729775
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D
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Common Stock
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1/12/2010
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S
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3700
(2)
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D
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$45.06
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726075
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D
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Common Stock
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1/12/2010
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S
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1800
(2)
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D
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$45.07
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724275
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D
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Common Stock
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1/12/2010
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S
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3300
(2)
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D
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$45.08
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720975
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D
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Common Stock
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1/12/2010
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S
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1300
(2)
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D
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$45.09
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719675
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D
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Common Stock
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1/12/2010
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S
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3200
(2)
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D
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$45.10
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716475
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D
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Common Stock
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1/12/2010
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S
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1100
(2)
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D
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$45.11
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715375
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D
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Common Stock
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1/12/2010
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S
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1100
(2)
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D
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$45.13
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714275
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D
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Common Stock
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1/12/2010
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S
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1100
(2)
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D
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$45.14
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713175
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D
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Common Stock
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1/12/2010
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S
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700
(2)
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D
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$45.15
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712475
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D
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Common Stock
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1/12/2010
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S
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1700
(2)
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D
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$45.16
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710775
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D
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Common Stock
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1/12/2010
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S
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400
(2)
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D
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$45.17
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710375
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D
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Common Stock
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1/12/2010
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S
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100
(2)
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D
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$45.18
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710275
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D
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Common Stock
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1/12/2010
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S
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1400
(2)
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D
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$45.19
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708875
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D
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Common Stock
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1/12/2010
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S
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1400
(2)
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D
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$45.20
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707475
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D
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Common Stock
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1/12/2010
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S
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1288
(2)
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D
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$45.24
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706187
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D
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Common Stock
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1/12/2010
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S
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400
(2)
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D
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$45.25
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705787
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D
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Common Stock
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1/12/2010
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S
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1400
(2)
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D
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$45.26
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704387
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D
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Common Stock
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1/12/2010
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S
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200
(2)
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D
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$45.27
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704187
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D
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Common Stock
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1/12/2010
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S
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400
(2)
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D
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$45.28
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703787
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D
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Common Stock
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1/12/2010
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S
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4300
(2)
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D
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$45.29
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699487
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D
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Common Stock
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1/12/2010
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S
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14700
(2)
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D
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$45.30
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684787
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D
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Common Stock
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1/12/2010
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S
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200
(2)
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D
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$45.31
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684587
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D
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Common Stock
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1/12/2010
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S
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2600
(2)
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D
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$45.32
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681987
(3)
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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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Stock Options (Right to Buy)
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$5.4687
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2/1/2001
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2/1/2011
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Common Stock
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106715
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106715
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D
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Stock Options (Right to Buy)
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$25.50
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(4)
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2/1/2018
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Common Stock
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100000
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100000
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D
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Stock Options (Right to Buy)
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$15.98
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(5)
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4/8/2019
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Common Stock
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123000
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123000
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D
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Stock Options (Right to Buy)
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$43.88
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(6)
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12/23/2019
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Common Stock
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35722
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35722
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D
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Explanation of Responses:
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(
1)
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Includes 1,905 Restricted Stock Units which vest on 12/23/2011; 1,905 Restricted Stock Units which vest on 12/23/2012 and 1,906 Restricted Stock Units which vest on 12/23/2013. This vesting will accelerate if Mr. Kamil retires after 12/23/2011.
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(
2)
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The shares covered by this Form 4 were sold pursuant to Mr. Kamil's Rule 10b5-1 plan, dated August 1, 2007.
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(
3)
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Mr. Kamil is also the beneficial owner of 90,710 shares of NBTY, Inc. common stock through the NBTY, Inc. Employee Stock Ownership Plan. Includes 150,656 shares held in a trust for the benefit of Mr. Kamil's children, as to which Mr. Kamil disclaims beneficial ownership.
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(
4)
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33,333 options become exercisable on 2/1/2010; 33,333 options become exercisable on 2/1/2011 and 33,334 options become exercisable on 2/1/2012.
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(
5)
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61,500 options become exercisable on 4/8/2010; 20,504 options become exercisable on 4/8/2011; 20,504 options become exercisable on 4/8/2012 and 20,492 options become exercisable on 4/8/2013.
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(
6)
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11,907 options become exercisable on 12/23/2011; 11,907 options become exercisable on 12/23/2012 and 11,908 options become exercisable on 12/23/2013. This vesting will accelerate if Mr. Kamil retires after 12/23/2011.
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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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KAMIL HARVEY
C/O NBTY, INC.
2100 SMITHTOWN AVE.
RONKONKOMA, NY 11779
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President and CFO
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Signatures
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/s/ Irene B. Fisher, Esq., pursuant to a Power of Attorney
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1/13/2010
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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.
|
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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