Accession Number: | 0001144204-15-033213 |
Date: | 2015-05-20 |
Issuer: | NATURES SUNSHINE PRODUCTS INC (NATR) |
Original Submission Date: |
WYNNEFIELD PARTNERS SMALL CAP VALUE LP
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
WYNNEFIELD CAPITAL MANAGEMENT LLC
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
WYNNEFIELD CAPITAL INC
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
OBUS NELSON
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
LANDES JOSHUA
450 SEVENTH AVENUE
SUITE 509
NEW YORK, NY 10123
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2015-05-20 | P | 2,537 | a | $12.88 | 610,485 f5 | direct | ||
COMMON STOCK | 2015-05-20 | P | 4,223 | a | $12.88 | 915,076 | indirect | f2 | |
COMMON STOCK | 2015-05-20 | P | 1,590 | a | $12.88 | 391,851 | indirect | f3 | |
COMMON STOCK | 2015-05-21 | P | 785 | a | $12.89 | 611,270 f5 | direct | ||
COMMON STOCK | 2015-05-21 | P | 1,307 | a | $12.89 | 916,383 | indirect | f2 | |
COMMON STOCK | 2015-05-21 | P | 493 | a | $12.89 | 392,344 | indirect | f3 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|
ID | footnote |
---|---|
f1 | wynnefield partners small cap value, l.p. (the "reporting person") directly beneficially owns 611,270 shares of common stock, no par value per share ("common stock") of nature's sunshine products, inc. wynnefield capital management, llc ("wcm"), as the sole general partner of the reporting person, has an indirect beneficial ownership interest in the shares of common stock that the reporting person directly beneficially owns. wcm, located at the same address as the reporting person, is filing this form jointly with the reporting person. nelson obus and joshua landes as co-managing members of wcm have an indirect beneficial ownership interest in the shares of common stock that the reporting person directly beneficially owns. mr. obus and mr. landes, each located at the same address as the reporting person, are filing this form jointly with the reporting person (see footnote 4). |
f2 | the reporting person has an indirect beneficial ownership interest in 916,383 shares of common stock, which are directly beneficially owned by wynnefield partners small cap value, l.p. i ("wpscvi"), as members of a group (a "13d group") under section 13(d) of the securities exchange act of 1934, as amended (the "exchange act"). wpscvi, which maintains offices at the same address as the reporting person, is filing this form jointly with the reporting person. wcm, as the sole general partner of wpscvi, has an indirect beneficial ownership interest in the shares of common stock that wpscvi directly beneficially owns. mr. obus and mr. landes, as co-managing members of wynnefield capital management, llc, have an indirect beneficial ownership interest in the shares of common stock that wpscvi directly beneficially owns. |
f3 | the reporting person has an indirect beneficial ownership interest in 392,344 shares of common stock, which are directly beneficially owned by wynnefield small cap value offshore fund, ltd. ("offshore"), as members of a 13d group. offshore, located at the same address as the reporting person, is filing this form jointly with the reporting person. wynnefield capital, inc. ("wci"), as the sole investment manager of offshore, has an indirect beneficial ownership interest in the shares of common stock that offshore directly beneficially owns. wci, located at the same address as the reporting person, is filing this form jointly with the reporting person. mr. obus and mr. landes, as principal executive officers of wci have an indirect beneficial ownership interest in the shares of common stock that offshore directly beneficially owns. |
f4 | the reporting person has an indirect beneficial ownership interest in 45,311 shares of common stock, which are directly beneficially owned by wynnefield capital, inc. profit sharing plan (the "plan"), as members of a 13d group. the plan, located at the same address as the reporting person, is filing this form jointly with the reporting person. wci, as the sole investment manager of the plan, has an indirect beneficial ownership interest in the shares of common stock that the plan directly beneficially owns. wci, located at the same address as the reporting person, is filing this form jointly with the reporting person. mr. obus and mr. landes, as principal executive officers of wci have an indirect beneficial ownership interest in the shares of common stock that the plan beneficially owns. |
f5 | mr. obus and mr. landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. the filing of this statement shall not be deemed an admission that mr. obus and mr. landes are, for purposes of section 16 of the exchange act or otherwise, the beneficial owner of any securities specified in this statement. |