Amended Statement of Changes in Beneficial Ownership (4/a)
2016年7月20日 - 7:08AM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Friedman Mark J
|
2. Issuer Name
and
Ticker or Trading Symbol
HERBALIFE LTD.
[
HLF
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
General Counsel
|
(Last)
(First)
(Middle)
800 W. OLYMPIC BLVD., SUITE 406
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2016
|
(Street)
LOS ANGELES, CA 90015
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/19/2016
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
7/15/2016
|
|
M
(1)
|
|
10008
|
A
|
$59.98
|
10208
|
D
|
|
Common Stock
|
7/15/2016
|
|
M
(1)
|
|
10603
|
A
|
$30.44
|
20811
|
D
|
|
Common Stock
|
7/15/2016
|
|
D
(2)
|
|
14147
|
D
|
$65.25
|
6664
|
D
|
|
Common Stock
|
7/15/2016
|
|
F
(2)
|
|
2748
|
D
|
$65.25
|
3916
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Appreciation Rights
|
$59.98
|
7/15/2016
|
|
M
(1)
|
|
|
10008
|
4/30/2016
|
4/30/2024
|
Common Stock
|
10008
|
$0.00
|
0
|
D
|
|
Stock Appreciation Rights
|
$30.44
|
7/15/2016
|
|
M
(1)
|
|
|
10603
|
3/2/2016
|
3/2/2025
|
Common Stock
|
10603
|
$0.00
|
0
|
D
|
|
Explanation of Responses:
|
(
1)
|
This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2015.
|
(
2)
|
The reporting person received an aggregate of 20,611 shares of common stock upon the net exercise of the stock appreciation rights ("SARS"). The reporting person forfeited an aggregate of 14,147 shares of common stock underlying the SARS in payment of the exercise price and an aggregate of 2,748 shares of common stock underlying the SARS to satisfy the aggregate withholding tax obligation resulting from the exercise, using the closing stock price on July 15, 2016 of $65.25.
|
Remarks:
This amendment is being filed solely to include an additional footnote to reflect the fact the transactions reported in the initial Form 4 filing were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2015.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Friedman Mark J
800 W. OLYMPIC BLVD.
SUITE 406
LOS ANGELES, CA 90015
|
|
|
General Counsel
|
|
Signatures
|
/s/ Eileen Uy, Attorney-In-Fact for Mark J. Friedman
|
|
7/19/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
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.
|
Herbalife (NYSE:HLF)
過去 株価チャート
から 3 2024 まで 4 2024
Herbalife (NYSE:HLF)
過去 株価チャート
から 4 2023 まで 4 2024