0001104659-13-008461.txt : 20130207 0001104659-13-008461.hdr.sgml : 20130207 20130207155715 ACCESSION NUMBER: 0001104659-13-008461 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130207 DATE AS OF CHANGE: 20130207 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAY FRANK W II CENTRAL INDEX KEY: 0001079725 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: NUTRACETICAL INTERNATIONAL CORP STREET 2: 1400 KEARNS BLVD 2ND FL. CITY: PARK CITY STATE: UT ZIP: 84060 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUTRACEUTICAL INTERNATIONAL CORP CENTRAL INDEX KEY: 0001050007 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 870515089 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55297 FILM NUMBER: 13582369 BUSINESS ADDRESS: STREET 1: 1400 KEARNS BOULEVARD STREET 2: 2ND FLOOR CITY: PARK CITY STATE: UT ZIP: 84060 BUSINESS PHONE: 4356556000 MAIL ADDRESS: STREET 1: 1400 KEARNS BOULEVARD STREET 2: 2ND FLOOR CITY: PARK CITY STATE: UT ZIP: 84060 SC 13G/A 1 a13-4656_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 13)*

 

Nutraceutical International Corporation

(Name of Issuer)

Common Stock, par value $0.01 per share

(Title of Class of Securities)

67060Y101

(CUSIP Number)

February 25, 1998

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Statement is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

x

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

 

1

Name of Reporting Person
I.R.S. Identification Nos. of Above Person (Entities Only):
Frank W. Gay II

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
United States of America

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5

Sole Voting Power
793,399 (1)

 

6

Shared Voting Power
None

 

7

Sole Dispositive Power
793,399 (1)

 

8

Shared Dispositive Power
None

 

 

9

Aggregate Amount Beneficially Owned by Each Reporting Person
793,399 (1)

 

 

10

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o
Not Applicable

 

 

11

Percent of Class Represented by Amount in Row (9)
8.1% (2)

 

 

12

Type of Reporting Person (See Instructions)
IN

 

2


 

(1)                                 Includes, pursuant to Rule 13d-3(d)(1)(i) of the Act, 60,000 shares of common stock that may be purchased upon the exercise of stock options that have vested or vest within 60 days from February 7, 2013.

 

(2)                                 All of the percentages calculated in this Schedule 13G are based upon an aggregate of 9,737,508 shares of common stock outstanding as of January 30, 2013.

 

Item 1(a)

 

Name of Issuer:
Nutraceutical International Corporation

Item 1(b)

 

Address of Issuer’s Principal Executive Offices:
1400 Kearns Boulevard, 2nd Floor

Park City, Utah 84060

 

Item 2(a)

 

Name of Person Filing:
Frank W. Gay II

Item 2(b)

 

Address:
1500 Kearns Boulevard, Suite B-200

Park City, Utah 84060

Item 2(c)

 

Citizenship:
United States of America

Item 2(d)

 

Title of Class of Securities:
Common Stock, par value $.01 per share

Item 2(e)

 

CUSIP No.:
67060Y101

 

Item 3

If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

Not Applicable

 

3


 

Item 4

Ownership:

 

(a)

Amount beneficially owned:   

793,399

 

(b)

Percent of class:   

8.1%

 

(c)

Number of shares as to which such person has:

 

 

 

(i)

Sole power to vote or to direct the vote:   

793,399

 

 

(ii)

Shared power to vote or to direct the vote:    

Not Applicable

 

 

(iii)

Sole power to dispose of to direct the disposition of:   

793,399

 

 

(iv)

Shared power to dispose or to direct the disposition of:   

Not Applicable

 

Item 5

Ownership of Five Percent or Less of a Class:

If this statement is being filed to report the fact that as of the date hereof each of the Reporting Persons has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ N/A ].

 

Item 6

Ownership of More than Five Percent on Behalf of Another Person:

 

Not Applicable

 

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

 

4


 

Item 10

Certification:

 

Not Applicable

 

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 7, 2013

 

Date

 


/s/ Frank W. Gay II

 

Signature

 


Frank W. Gay II

 

Name

 

5