-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OoJzkJW9bdFLi6qnneVWqikgtpezRze+1j/7mhi9NL/G7g8zFCb1eDpkWjpcnQL5 Id7z5etn5ocZgcClEhfTMg== 0001104659-04-037999.txt : 20041201 0001104659-04-037999.hdr.sgml : 20041201 20041201121642 ACCESSION NUMBER: 0001104659-04-037999 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041129 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans FILED AS OF DATE: 20041201 DATE AS OF CHANGE: 20041201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NBTY INC CENTRAL INDEX KEY: 0000070793 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 112228617 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-31788 FILM NUMBER: 041176466 BUSINESS ADDRESS: STREET 1: 90 ORVILLE DR CITY: BOHEMIA STATE: NY ZIP: 11716 BUSINESS PHONE: 5165679500 MAIL ADDRESS: STREET 1: 90 ORVILLE DRIVE CITY: BOHEMIA STATE: NY ZIP: 11716 FORMER COMPANY: FORMER CONFORMED NAME: NATURES BOUNTY INC DATE OF NAME CHANGE: 19920703 8-K 1 a04-14284_18k.htm 8-K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 
FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

 

Date of report (Date of earliest event reported):  November 29, 2004

 

NBTY, INC.
 (Exact Name of Registrant as Specified in Charter)

 

001-31788

(Commission File Number)

 

DELAWARE

 

11-2228617

(State or Other Jurisdiction of Incorporation)

 

(I.R.S. Employer Identification No.)

 

 

 

90 Orville Drive

 

11716

Bohemia, New York

 

(Zip Code)

(Address of Principal Executive Offices)

 

 

 

(631) 567-9500

(Registrant’s telephone number, including area code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act

(17CFR 240.14d-2(b))

 

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act

(17 CFR 240.13e-4(c))

 

 


ITEM 5.04.                                    Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.

 

On November 29, 2004, NBTY, Inc. (“NBTY”) received notice, as required by Section 101(i)(2)(E) of the Employee Retirement Income Security Act of 1974, that effective January 1, 2005, the NBTY, Inc. 401(k) Savings Plan and the Rexall Sundown, Inc. 401(k) Employee Savings Plan (collectively, the “401(k) Plans”) will merge and that all investment, trustee and recordkeeping services will be transitioned to a new service provider.  In order to facilitate these changes, each participant in either 401(k) Plan will temporarily be prohibited from directing or diversifying investments in their 401(k) Plan accounts (including transfers into or out of the NBTY common stock fund), obtaining 401(k) Plan loans or receiving distributions from either 401(k) Plan.

 

The period during which 401(k) Plan participants will be unable to exercise these rights qualifies as a “blackout period” under Regulation BTR promulgated pursuant to Section 306(a)(3) of the Sarbanes-Oxley Act of 2002, and is expected to begin at 4 p.m. Eastern time on December 30, 2004 and is expected to end during the week of January 9, 2005.  Notice of the blackout period has been distributed to 401(k) Plan participants.

 

During the blackout period and for a period of two years after the ending date of the blackout period, holders of NBTY common stock and other interested persons may obtain, without charge, the actual beginning and ending dates of the blackout period by sending a written request to NBTY, Inc., attention Corporate Secretary, 90 Orville Drive Bohemia, New York 11716.

 

Notice of this blackout period is also being given to NBTY’s directors and executive officers simultaneously with the filing of this report.

 

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SIGNATURES

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Dated: December 1, 2004

NBTY, INC.

 

 

 

 

 

 

 

By:

/s/ Harvey Kamil

 

 

Harvey Kamil

 

 

President and Chief Financial Officer

 

 

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