-----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, CTLjW6TqOi6ZqsHnnAlQ2VhhR3zo5egGr1a0mgfCkZNiEu4JEaDTbGkjB2NkcTD4 pNZRtGY7bxn0W97OHWUlyA== 0001047469-99-005179.txt : 19990215 0001047469-99-005179.hdr.sgml : 19990215 ACCESSION NUMBER: 0001047469-99-005179 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 GROUP MEMBERS: BALBERT ELLIOTT GROUP MEMBERS: CHERYL BALBERT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NATROL INC CENTRAL INDEX KEY: 0001025573 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 953560780 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-55331 FILM NUMBER: 99533929 BUSINESS ADDRESS: STREET 1: 21411 PRAIRIE ST CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187396000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BALBERT ELLIOTT CENTRAL INDEX KEY: 0001078648 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O NATROL INC STREET 2: 21411 PRAIRIE STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187396000 MAIL ADDRESS: STREET 1: C/O NATROL INC STREET 2: 21411 PRAIRIE STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 SC 13G 1 SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------- SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 and 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 NATROL, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 638789 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) JULY 21, 1998 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |_| Rule 13d-1(c) |X| Rule 13d-1(d) ---------- CUSIP No. 638789 10 7 13G Page 2 of 7 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Elliott Balbert - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER 0 SHARES ---------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER 6,029,500 OWNED BY ---------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------- PERSON WITH 8. SHARED DISPOSITIVE POWER 6,029,500 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,029,500* - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 45.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - --------------------------------------------------------------------------------
* Includes 5,904,500 shares owned by the Balbert Family Trust, a revocable trust of which Mr. Balbert and his wife, Cheryl Balbert, are trustees and of which Mr. and Mrs. Balbert and other members of their family are the beneficiaries. Also includes 125,000 shares owned by Mr. Balbert's daughter, of which Mr. Balbert disclaims beneficial ownership and this report shall not be deemed an admission that Mr. Balbert is the beneficial owner for purposes of Section 13 or 16 or for any other purpose. CUSIP No. 638789 10 7 13G Page 3 of 7 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Cheryl Balbert - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER 0 SHARES ---------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER 6,029,500 OWNED BY ---------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------- PERSON WITH 8. SHARED DISPOSITIVE POWER 6,029,500 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,029,500* - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 45.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - --------------------------------------------------------------------------------
* Includes 5,904,500 shares owned by the Balbert Family Trust, a revocable trust of which Mrs. Balbert and her husband, Elliott Balbert, are trustees and of which Mr. and Mrs. Balbert and other members of their family are the beneficiaries. Also includes 125,000 shares owned by Mrs. Balbert's daughter, of which Mrs. Balbert disclaims beneficial ownership and this report shall not be deemed an admission that Mrs. Balbert is the beneficial owner for purposes of Section 13 or 16 or for any other purpose. CUSIP No. 638789 10 7 13G Page 4 of 7 Pages ITEM 1(a). NAME OF ISSUER: Natrol, Inc. ---------------------------------------------------------------- ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 21411 Prairie Street, Chatsworth, California 91311 ---------------------------------------------------------------- ITEM 2(a). NAME OF PERSON FILING: Reference is made to the cover sheet of each reporting person ---------------------------------------------------------------- ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: c/o 21411 Prairie Street, Chatsworth, California 91311 ---------------------------------------------------------------- ITEM 2(c). CITIZENSHIP: Reference is made to the cover sheet of each reporting person ---------------------------------------------------------------- ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ---------------------------------------------------------------- ITEM 2(e) CUSIP NUMBER: 638789 10 7 ---------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: Not applicable ITEM 4. OWNERSHIP. Reference is made to the cover sheet of each reporting person ---------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable.
CUSIP No. 638789 10 7 13G Page 5 of 7 Pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable.
CUSIP No. 638789 10 7 13G Page 6 of 7 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. FEBRUARY 12, 1999 ----------------------------- Date /S/ ELLIOTT BALBERT ----------------------------- Signature ELLIOTT BALBERT ----------------------------- Name/Title /S/ CHERYL BALBERT ----------------------------- Signature CHERYL BALBERT ----------------------------- Name/Title CUSIP No. 638789 10 7 13G Page 7 of 7 Pages
EXHIBITS - -------- A. Joint Filing Agreement dated February 12, 1999 by and among the reporting persons (attached hereto)
EXHIBIT A JOINT FILING AGREEMENT This will confirm the agreement by Elliott Balbert, an individual residing in the State of California, and Cheryl Balbert, an individual residing in the State of California (collectively, the "Reporting Persons"), in connection with that certain Schedule 13G to be filed on or about February 12, 1999 with respect to the common stock, par value $.01 per share (the "Common Stock"), of Natrol, Inc. (the "Company") pertaining to the beneficial ownership by the Reporting Persons of shares of such common stock (the "Schedule 13G"). The undersigned hereby agree with respect to such filing on Schedule 13G as follows: (i) No Reporting Person nor any affiliate of any Reporting Person makes any representation with respect to, nor bears any responsibility for, any of the information set forth with respect to any other "person" who or which is or becomes a party to or a member of any "group" (as such terms are defined and used in Section 13(d) of the Securities Exchange Act of 1934, as amended, and Regulation 13D-G promulgated thereunder) for whom or which information is included in such Schedule 13G. (ii) Subject to paragraph (i) above, the undersigned hereby confirm the agreement by and among each of them that the Schedule 13G is being filed on behalf of each of the parties named below. Dated: February 12, 1999 /S/ ELLIOTT BALBERT -------------------------- Elliott Balbert /S/ CHERYL BALBERT -------------------------- Cheryl Balbert -----END PRIVACY-ENHANCED MESSAGE-----