1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Appreciation Rights
|
(7)
|
11/30/2017 |
Common Stock
|
1,400
|
$
38.96
|
D
|
|
Stock Appreciation Rights
|
(8)
|
05/29/2017 |
Common Stock
|
1,540
|
$
40.25
|
D
|
|
Stock Appreciation Rights
|
(9)
|
12/31/2017 |
Common Stock
|
6,000
|
$
40.28
|
D
|
|
Stock Appreciation Rights
|
(10)
|
02/28/2018 |
Common Stock
|
2,500
|
$
43.13
|
D
|
|
Stock Appreciation Rights
|
(11)
|
02/27/2019 |
Common Stock
|
7,000
|
$
13.64
|
D
|
|
Stock Appreciation Rights
|
(11)
|
02/27/2019 |
Common Stock
|
6,013
|
$
13.64
|
D
|
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Consists of restricted stock units granted under the Herbalife Ltd. 2005 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of common stock on vesting. The units subject to the grant vest in one-third increments on March 28, 2009, February 28, 2010 and February 28, 2011. |
(2) |
Consists of restricted stock units granted under the Herbalife Ltd. 2005 Stock Incentive Plan that vest in one-third increments on June 29, 2008, May 29, 2009 and May 29, 2010. |
(3) |
Consists of restricted stock units granted under the Herbalife Ltd. 2005 Stock Incentive Plan that vest in one-third increments on January 31, 2009, December 31, 2009 and December 31, 2010. |
(4) |
Consists of stock appreciation units granted under the Herbalife Ltd. 2005 Stock Incentive Plan vesting on the following schedule: 20% on February 28, 2009, 20% on February 28, 2010 and the remaining 60% on February 28, 2011. |
(5) |
Consists of restricted stock units granted under the Herbalife Ltd. 2005 Stock Incentive Plan that vest in one-third increments on March 27, 2010, February 27, 2011 and February 27, 2012. |
(6) |
Consists of restricted stock units granted under the Herbalife Ltd. 2005 Stock Incentive Plan that vest in one-third increments on December 31, 2007, November 30, 2008 and November 30, 2009. |
(7) |
Consists of stock appreciation rights granted under the Herbalife Ltd. 2005 Stock Incentive Plan that vest in 5% increments commencing on December 31, 2006 and on the last day of the nineteen subsequent calendar quarters. |
(8) |
Consists of stock appreciation rights granted under the Herbalife Ltd. 2005 Stock Incentive Plan, of which 20% vested on May 29, 2008, 20% vested on May 29, 2009 and the remaining 60% will vest on May 29, 2010. |
(9) |
Consists of stock appreciation rights granted under the Herbalife Ltd. 2005 Stock Incentive Plan, of which 20% vested on December 31, 2008, 20% will vest on December 31, 2009 and the remaining 60% will vest on December 31, 2010. |
(10) |
Consists of stock appreciation rights granted under the Herbalife Ltd. 2005 Stock Incentive Plan, of which 20% vested on February 28, 2009, 20% will vest on February 28, 2010 and the remaining 60% will vest on February 28, 2011. |
(11) |
Consists of stock appreciation rights granted under the Herbalife Ltd. 2005 Stock Incentive Plan, of which 20% will vest on February 27, 2010, 20% will vest on February 27, 2011 and the remaining 60% will vest on February 27, 2012. |