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
NATURAL ALTERNATIVES INTERNATIONAL INC [ NAII ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/21/2009 | ||||||||||||||||||||||||||
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 | ||||||
CommonStock | 07/21/2009 | W | 5,000 | A | (1) | 102,317(2) | D | |||
Common Stock | 575,851 | I | By LeDoux Family Limited Partnership | |||||||
Common Stock | 800 | I | By self as Custodian for Jean-Marc Emile LeDoux | |||||||
Common Stock | 40,000 | I | By IRA | |||||||
Common Stock | 28,000 | I | By 401(k) Plan | |||||||
Common Stock | 800 | I | By self as Custodian for Jeannette LeDoux | |||||||
Common Stock | 171,951 | I | By self as Trustee for Marie Altmann LeDoux Family Trust | |||||||
Common Stock | 36,677(3) | I | By self as Trustee for the LeDoux Family Trust, U/D/T December 21, 1992 |
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 |
Explanation of Responses: |
1. Shares were inherited. |
2. In addition to the 5,000 shares resulting from the reported transaction, the total direct holdings have been adjusted from the amount previously reported to deduct 7,067 shares held indirectly by the LeDoux Family Trust, U/D/T December 21, 1992 but that were previously reported as held by Mr. LeDoux directly and to deduct an additional 27,859 shares previously reported incorrectly as held by Mr. LeDoux directly but that are held indirectly and have been reported as such and therefore double counted. |
3. Amount has been adjusted from prior amount reported to reflect an additional 7,067 shares previously incorrectly reported as held directly by Mr. LeDoux and an additional 151 shares issued to the trust as a result of Mr. LeDoux's previously reported option exercise on September 8, 2008 following reconciliation of certain tax withholdings. |
/s/ Ken Wolf on behalf of Mr. LeDoux under a Power of Attorney | 07/23/2009 | |
** 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. |