0001209191-18-015306.txt : 20180301 0001209191-18-015306.hdr.sgml : 20180301 20180301205013 ACCESSION NUMBER: 0001209191-18-015306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180228 FILED AS OF DATE: 20180301 DATE AS OF CHANGE: 20180301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aspauza Jossie CENTRAL INDEX KEY: 0001624298 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32381 FILM NUMBER: 18659778 MAIL ADDRESS: STREET 1: 800 W. OLYMPIC BLVD STREET 2: SUITE 406 CITY: LOS ANGELES STATE: CA ZIP: 90015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HERBALIFE LTD. CENTRAL INDEX KEY: 0001180262 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-DRUGS PROPRIETARIES & DRUGGISTS' SUNDRIES [5122] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: P.O. BOX 309GT STREET 2: UGLAND HOUSE, SOUTH CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: 00000 BUSINESS PHONE: 310 410 9600 MAIL ADDRESS: STREET 1: P.O. BOX 309GT STREET 2: UGLAND HOUSE, SOUTH CHURCH STREET CITY: GEORGE TOWN STATE: E9 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: WH HOLDINGS CAYMAN ISLANDS LTD DATE OF NAME CHANGE: 20020814 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-02-28 0 0001180262 HERBALIFE LTD. HLF 0001624298 Aspauza Jossie 800 W. OYMPIC BLVD. SUITE 406 LOS ANGELES CA 90015 0 1 0 0 VP, SAM/CAM Common Stock 2018-02-28 4 M 0 2512 79.58 A 14592 D Common Stock 2018-02-28 4 D 0 2171 92.10 D 12421 D Common Stock 2018-02-28 4 F 0 103 92.10 D 12318 D Common Stock 2018-02-28 4 M 0 3752 59.98 A 16070 D Common Stock 2018-02-28 4 D 0 2444 92.10 D 13626 D Common Stock 2018-02-28 4 F 0 393 92.10 D 13233 D Common Stock 2018-02-28 4 M 0 1048 62.51 A 14281 D Common Stock 2018-02-28 4 D 0 712 92.10 D 13569 D Common Stock 2018-02-28 4 F 0 102 92.10 D 13467 D Common Stock 2018-02-28 4 M 0 1102 57.19 A 14569 D Common Stock 2018-02-28 4 D 0 685 92.10 D 13884 D Common Stock 2018-02-28 4 F 0 126 92.10 D 13758 D Common Stock 2018-02-28 4 S 0 9995 90.38 D 3763 D Stock Appreciation Rights 79.58 2018-02-28 4 M 0 2512 0.00 D 2016-06-21 2023-12-19 Common Stock 2512 0 D Stock Appreciation Rights 59.98 2018-02-28 4 M 0 3752 0.00 D 2017-04-30 2024-04-30 Common Stock 3752 0 D Stock Appreciation Rights 62.51 2018-02-28 4 M 0 1048 0.00 D 2017-05-09 2026-05-09 Common Stock 1048 4192 D Stock Appreciation Rights 57.19 2018-02-28 4 M 0 1102 0.00 D 2018-02-27 2027-02-27 Common Stock 1102 4406 D The reporting person received 238 shares of common stock upon the net exercise of 2,512 stock appreciation rights ("SARs"). The reporting person forfeited 2,171 shares of common stock underlying the SARs in payment of the exercise price and 103 shares of common stock underlying the SARs to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 28, 2018 of $92.10. The reporting person received 915 shares of common stock upon the net exercise of 3,752 SARs. The reporting person forfeited 2,444 shares of common stock underlying the SARs in payment of the exercise price and 393 shares of common stock underlying the SARs to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 28, 2018 of $92.10. The reporting person received 234 shares of common stock upon the net exercise of 1,048 SARs. The reporting person forfeited 712 shares of common stock underlying the SARs in payment of the exercise price and 102 shares of common stock underlying the SARs to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 28, 2018 of $92.10. The reporting person received 291 shares of common stock upon the net exercise of 1,102 SARs The reporting person forfeited 685 shares of common stock underlying the SARs in payment of the exercise price and 126 shares of common stock underlying the SARs to satisfy the withholding tax obligations resulting from the exercise, using the closing stock price on February 28, 2018 of $92.10. This transaction was executed in multiple trades at prices ranging from $90.11 to $90.65. The price reported reflects the weighted average sale price of $90.38. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Consists of stock appreciation rights granted under the Herbalife Ltd. 2014 Stock Incentive Plan, of which 20% vested May 9, 2017, and 20% will vest on May 9, 2018, and the remaining 60% will vest May 9, 2019. Consists of stock appreciation rights granted under the Herbalife Ltd. 2014 Stock Incentive Plan, of which 20% vested February 27, 2018, 20% will vest February 27, 2019, and the remaining 60% will vest February 27, 2020. /s/ Eileen Uy, Attorney-in-Fact for Jossie Aspauza 2018-03-01