FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
VITAL LIVING INC [ VTVL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/23/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/23/2003 | J(1) | 75,000 | A | (1) | 110,000(3)(4) | D | |||
Common Stock | 09/03/2003 | J(2) | 142,000 | A | (2) | 252,000(3)(4) | D | |||
Common Stock | 09/03/2003 | S | 1,250 | D | $1.35 | 250,750(3)(4) | D | |||
Common Stock | 09/04/2003 | S | 750 | D | $1.35 | 250,000(3)(4) | D | |||
Common Stock | 09/05/2003 | S | 1,000 | D | $1.38 | 249,000(3)(4) | D | |||
Common Stock | 09/09/2003 | S | 2,000 | D | $1.3 | 247,000(3)(4) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Aegis Capital was entitled to 100,000 shares of common stock as an investment advisory fee pursuant to the closing of the Christopher's Original Formula transaction. Of such shares, 75,000 were issued to Mr. Eide, who is a principal of Aegis Capital. Mr. Eide disclaims beneficial ownership of the 25,000 shares that Aegis Capital owns. |
2. Aegis Capital was entitled to 200,000 shares of common stock as an investment advisory fee pursuant to the closing of the E-Nutriceuticals, Inc. merger. Of such shares, 142,000 were issued to Mr. Eide, who is a principal of Aegis Capital. The remaining 58,000 shares were issued to other shareholders of Aegis Capital. |
3. Includes 30,000 shares of restricted stock received as a director, 10,000 of which vested immediately upon grant with the balance vesting over a 2 year period. |
4. In addition, Mr. Eide disclaims benefical ownership of 50,000 shares of common stock which were issued to Aegis Capital in November 2002. |
Robert Eide | 09/11/2003 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |