Initial Statement of Beneficial Ownership (3)
2017年8月5日 - 7:07AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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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1. Name and Address of Reporting Person
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Harms Thomas
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
HERBALIFE LTD. [HLF]
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(Last)
(First)
(Middle)
800 W. OLYMPIC BLVD., SUITE 406
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP, China & APAC /
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(Street)
LOS ANGELES, CA 90015
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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 Appreciation Right
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2/28/2008
(1)
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2/28/2018
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Common Stock
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1000
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$21.57
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D
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Stock Appreciation Right
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2/27/2009
(2)
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2/27/2019
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Common Stock
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6000
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$6.82
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D
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Stock Appreciation Right
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2/27/2009
(3)
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2/27/2019
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Common Stock
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15000
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$6.82
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D
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Stock Appreciation Right
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5/7/2010
(4)
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5/7/2020
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Common Stock
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5032
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$22.94
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D
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Stock Appreciation Right
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5/18/2011
(5)
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5/18/2021
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Common Stock
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4167
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$53.29
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D
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Stock Appreciation Right
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3/1/2012
(6)
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3/1/2022
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Common Stock
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3711
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$67.70
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D
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Stock Appreciation Right
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5/31/2012
(7)
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5/31/2022
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Common Stock
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11803
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$44.79
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D
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Stock Appreciation Right
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12/19/2013
(8)
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12/19/2023
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Common Stock
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5448
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$79.58
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D
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Stock Appreciation Right
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4/30/2014
(9)
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4/30/2024
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Common Stock
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6639
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$59.98
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D
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Stock Appreciation Right
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3/2/2015
(10)
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3/2/2025
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Common Stock
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9176
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$30.44
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D
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Stock Appreciation Right
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5/9/2016
(11)
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5/9/2026
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Common Stock
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3023
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$62.51
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D
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Stock Appreciation Right
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2/27/2017
(12)
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2/27/2027
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Common Stock
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3177
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$57.19
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D
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Explanation of Responses:
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(1)
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On February 28, 2008 the reporting person was granted 6,000 Stock Appreciation Right ("SARs"). These SARs were fully vested as of February 28, 2011.
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(2)
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On February 27, 2009 the reporting person was granted 6,000 SARs. These SARs were fully vested as of February 27, 2012.
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(3)
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On February 27, 2009 the reporting person was granted 15,000 SARs. These SARs were fully vested as of February 27, 2014.
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(4)
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On May 7, 2010 the reporting person was granted 5,032 SARs. These SARs were fully vested as of May 7, 2013.
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(5)
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On May 18, 2011, the reporting person was granted 4,167 SARs. These SARs were fully vested as of May 18, 2014.
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(6)
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On March 1, 2012, the reporting person was granted 3,711 SARs. These SARs were fully vested as of March 1, 2015.
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(7)
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On May 31, 2012, the reporting person was granted 11,803 SARs. These SARs were fully vested as of May 31, 2015.
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(8)
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On December 19, 2013, the reporting person was granted 5,448 SARs. These SARs were fully vested as of December 19, 2016.
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(9)
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On April 30, 2014, the reporting person was granted 6,639 SARs. These SARs were fully vested as of April 30, 2017.
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(10)
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On March 2, 2015, the reporting person was granted 9,176 SARs. Forty percent (40%) of these SARs were vested as of March 2, 2017, and the remaining sixty percent (60%) will vest on March 2, 2018.
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(11)
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On May 9, 2016, the reporting person was granted 3,023 SARs. Twenty percent (20%) of these SARs were vested as of May 9, 2017, twenty percent (20%) will vest on May 9, 2018, and the remaining sixty percent (60%) will vest on May 2, 2019.
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(12)
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On February 27, 2017, the reporting person was granted 3,177 SARs. Twenty percent (20%) of these SARs will vest on each of February 27, 2018 and February 27, 2019, and the remaining sixty percent (60%) will vest on February 27, 2020.
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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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Harms Thomas
800 W. OLYMPIC BLVD., SUITE 406
LOS ANGELES, CA 90015
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SVP, China & APAC
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Signatures
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/s/ Eileen Uy, Attorney-in-Fact for Thomas Harms
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8/4/2017
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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 5(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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Herbalife (NYSE:HLF)
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