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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Right to Purchase Common Stock | $ 7.31 | 08/13/2010 | D | 6,000 | (1) | 09/05/2017 | Common Stock, Par Value $0.0001 per share | 6,000 | $ 0 (8) | 266,000 | D | ||||
Right to Purchase Common Stock | $ 6.39 | 08/13/2010 | D | 6,000 | (2) | 02/21/2018 | Common Stock, Par Value $0.0001 per share | 6,000 | $ 0 (9) | 260,000 | D | ||||
Right to Purchase Common Stock | $ 3.53 | 08/13/2010 | D | 75,000 | (3) | 02/17/2019 | Common Stock, Par Value $0.0001 per share | 75,000 | $ 0 (10) | 185,000 | D | ||||
Right to Purchase Common Stock | $ 3.1 | 08/13/2010 | D | 75,000 | (4) | 12/21/2019 | Common Stock, Par Value $0.0001 per share | 75,000 | $ 0 (11) | 110,000 | D | ||||
Right to Purchase Common Stock | $ 2.69 | 08/13/2010 | D | 50,000 | (5) | 10/31/2011 | Common Stock, Par Value $0.0001 per share | 50,000 | $ 0 (12) | 60,000 | D | ||||
Right to Purchase Common Stock | $ 2.63 | 08/13/2010 | D | 50,000 | (6) | 08/22/2010 | Common Stock, Par Value $0.0001 per share | 50,000 | $ 0 (13) | 10,000 | D | ||||
Right to Purchase Common Stock | $ 2.5 | 08/13/2010 | D | 10,000 | (7) | 11/19/2018 | Common Stock, Par Value $0.0001 per share | 10,000 | $ 0 (14) | 0 | D | ||||
Right to Purchase Common Stock | $ 2.46 | 08/16/2010 | A | 191,816 | (15) | 08/15/2020 | Common Stock, Par Value $0.0001 per share | 191,816 | $ 0 | 191,816 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FENSTERMACHER STEPHEN D 600 S ROYAL LANE SUITE 200 COPPELL, TX 75019 |
Co-CEO/CFO |
Stephen D. Fenstermacher, Co-CEO and CFO | 08/17/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The option provided for vesting in three equal annual installments beginning September 6, 2008. |
(2) | The option provided for vesting in three equal annual installments beginning February 22, 2009. |
(3) | The option provided for vesting in three equal annual installments beginning February 18, 2010. |
(4) | Options Vest 1/3 immediately, 1/3 on December 22, 2010, and 1/3 December 22, 2011. |
(5) | The option provided for vesting in three equal annual installments beginning November 1, 2002. |
(6) | The option provided for vesting in three equal annual installments beginning August 23, 2001. |
(7) | The option provided for vesting in three equal annual installments beginning November 20, 2009. |
(8) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 6,000 shares of Mannatech common stock granted to the reporting person on September 6, 2007. In exchange, the reporting person received a replacement option, for 3,440 shares, having an exercise price of $2.46 a share. |
(9) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 6,000 shares of Mannatech common stock granted to the reporting person on February 22, 2008. In exchange, the reporting person received a replacement option, for 3,745 shares, having an exercise price of $2.46 a share. |
(10) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 75,000 shares of Mannatech common stock granted to the reporting person on February 18, 2009. In exchange, the reporting person received a replacement option, for 64,432 shares, having an exercise price of $2.46 a share. |
(11) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 75,000 shares of Mannatech common stock granted to the reporting person on December 22, 2009. In exchange, the reporting person received a replacement option, for 68,306 shares, having an exercise price of $2.46 a share. |
(12) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of Mannatech common stock granted to the reporting person on November 1, 2001. In exchange, the reporting person received a replacement option, for 23,752 shares, having an exercise price of $2.46 a share. |
(13) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 50,000 shares of Mannatech common stock granted to the reporting person on August 23, 2000. In exchange, the reporting person received a replacement option, for 18,181 shares, having an exercise price of $2.46 a share. |
(14) | On August 16, 2010, the issuer canceled, pursuant to the issuer's option exchange program, an option for 10,000 shares of Mannatech common stock granted to the reporting person on November 20, 2008. In exchange, the reporting person received a replacement option, for 9,960 shares, having an exercise price of $2.46 a share. |
(15) | The option vests in three equal annual installments beginning August 16, 2011. |