Accession Number: | 0001209191-18-005568 |
Date: | 2018-01-24 |
Issuer: | HERBALIFE LTD. (HLF) |
Original Submission Date: |
CHIU SHIN-SHING BOSCO
800 W. OLYMPIC BOULEVARD, SUITE 406
LOS ANGELES, CA 90015
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 | 2018-01-24 | M | 1,000 | a | $27.79 | 1,000 | direct | ||
COMMON STOCK | 2018-01-24 | D | 356 | d | $78.21 | 644 | direct | ||
COMMON STOCK | 2018-01-24 | F | 223 | d | $78.21 | 421 | direct | ||
COMMON STOCK | 2018-01-24 | M | 5,417 | a | $53.29 | 5,838 | direct | ||
COMMON STOCK | 2018-01-24 | D | 3,691 | d | $78.21 | 2,147 | direct | ||
COMMON STOCK | 2018-01-24 | F | 597 | d | $78.21 | 1,550 | direct | ||
COMMON STOCK | 2018-01-24 | M | 2,561 | a | $55.90 | 4,111 | direct | ||
COMMON STOCK | 2018-01-24 | D | 1,831 | d | $78.21 | 2,280 | direct | ||
COMMON STOCK | 2018-01-24 | F | 253 | d | $78.21 | 2,027 | direct | ||
COMMON STOCK | 2018-01-24 | M | 2,295 | a | $44.79 | 4,322 | direct | ||
COMMON STOCK | 2018-01-24 | D | 1,315 | d | $78.21 | 3,007 | direct | ||
COMMON STOCK | 2018-01-24 | F | 340 | d | $78.21 | 2,667 | direct | ||
COMMON STOCK | 2018-01-26 | S | 2,667 | d | $78.54 | 0 | direct |
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 |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK APPRECIATION RIGHTS | 27.79 | 2018-01-24 | deemed execution date | M | 1,000 (d) | 2013-08-31 | 2020-08-31 | common stock 1,000 | $27.79 | 0 | direct | |
STOCK APPRECIATION RIGHTS | 53.29 | 2018-01-24 | deemed execution date | M | 5,417 (d) | 2014-05-18 | 2021-05-18 | common stock 5,417 | $53.29 | 0 | direct | |
STOCK APPRECIATION RIGHTS | 55.9 | 2018-01-24 | deemed execution date | M | 2,561 (d) | 2014-12-01 | 2021-12-01 | common stock 2,561 | $55.90 | 0 | direct | |
STOCK APPRECIATION RIGHTS | 44.79 | 2018-01-24 | deemed execution date | M | 2,295 (d) | 2015-05-31 | 2022-05-31 | common stock 2,295 | $44.79 | 10,000 | direct |
ID | footnote |
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f1 | this transaction was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on november 9, 2017. |
f2 | the reporting person received 421 shares of common stock upon the net exercise of 1,000 stock appreciation rights ("sars"). the reporting person forfeited 356 shares of common stock underlying such sars in payment of the exercise price and 223 shares of common stock underlying such sars to satisfy the withholding tax obligation resulting from the exercise, using the closing stock price on january 24, 2018 of $78.21. |
f3 | the reporting person received 1,129 shares of common stock upon the net exercise of 5,417 sars. the reporting person forfeited 3,691 shares of common stock underlying such sars in payment of the exercise price and 597 shares of common stock underlying such sars to satisfy the withholding tax obligation resulting from the exercise, using the closing stock price on january 24, 2018 of $78.21. |
f4 | the reporting person received 477 shares of common stock upon the net exercise of 2,561 sars. the reporting person forfeited 1,831 shares of common stock underlying such sars in payment of the exercise price and 253 shares of common stock underlying such sars to satisfy the withholding tax obligation resulting from the exercise, using the closing stock price on january 24, 2018 of $78.21. |
f5 | the reporting person received 640 shares of common stock upon the net exercise of 2,295 sars. the reporting person forfeited 1,315 shares of common stock underlying such sars in payment of the exercise price and 340 shares of common stock underlying such sars to satisfy the withholding tax obligation resulting from the exercise, using the closing stock price on january 24, 2018 of $78.21. |