FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NBTY INC [ NTY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/09/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 03/09/2010 | 03/09/2010 | S | 69,028(1) | D | $50 | 3,672 | I | Skylar Capital Limited Partnership (in which Glenn Schneider is the general partner) | |
Common Stock | 03/09/2010 | 03/09/2010 | S | 80,126 | D | $50 | 34,049 | I | Shares owned by immediate family members of Glenn Schneider | |
Common Stock | 9,606(2)(3) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 Options (Right to Buy) | $25.5 | (4) | 02/01/2018 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Options (Right to Buy) | $25.62 | (5) | 06/23/2019 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Options (Right to Buy) | $43.88 | (6) | 12/23/2019 | Common Stock | 11,145 | 11,145 | D |
Explanation of Responses: |
1. The shares covered by this Form 4 were sold pursuant to Mr. Schneider's Rule 10b5-1 plan, dated November 24, 2009. |
2. Includes 594 Restricted Stock Units which vest on 12/23/2011; 594 Restricted Stock Units which vest on 12/23/2012 and 595 Restricted Stock Units which vest on 12/23/2013. |
3. Includes Mr. Schneider's beneficial ownership of 1,923 shares of NBTY, Inc. common stock through the Employee Stock Ownership Plan. |
4. 6,666 options became exercisable on 2/1/2010, 6,667 options become exercisable on 2/1/2011 and 6,667 options become exercisable on 2/1/2012. |
5. 13,333 options become exercisable on 6/23/2011, 13,333 options become exercisable on 6/23/2012 and 13,334 options become exercisable on 6/23/2013. |
6. 3,715 options become exercisable on 12/23/2011, 3,715 options become exercisable on 12/23/2012 and 3,715 options become exercisable on 12/23/2013. |
/s/ Irene B. Fisher, Esq., pursuant to a Power of Attorney | 03/11/2010 | |
** 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 Number. |