ledouxm20161108_144.htm

 

UNITED STATES

 

OMB APPROVAL

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES

  

OMB Number:3235-0101

Expires: May 13, 2017

Estimated average burden

hours per response…….….1.00

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

SEC USE ONLY

 

 

 

 

 

 

 

DOCUMENT SEQUENCE NO.

ATTENTION:Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale

 

 

 

                        or executing a sale directly with a market maker.

 

 

 

 

 

CUSIP NUMBER

 

 

 

 

 

 

 

 

 

1 (a) NAME OF ISSUER (Please type or print)

 

(b) IRS IDENT.NO.

 

(c) S.E.C. FILE NO.

 

WORK LOCATION

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Natural Alternatives International, Inc.

 

84-1007839

 

000-15701

 

 

 

 

1 (d) ADDRESS OF ISSUER

STREET

 

CITY

 

STATE

 

ZIP CODE

 

(e) TELEPHONE NO.

 

 

 

 

 

 

 

 

 

 

AREA CODE

NUMBER

 

 

 

c/o 1535 Faraday Avenue

 

Carlsbad

 

California

 

92008

 

(760)

 744-7340

 

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

 

 

 

(b) RELATIONSHIP TO ISSUER

 

(c) ADDRESS STREET

 

CITY

 

STATE

ZIP CODE

 

 

 

 

 

 

 

c/o 1535 Faraday Avenue

 

Carlsbad

 

California

92008

 

 Mark LeDoux and persons whose sales are required by Rule 144 to be aggregated as follows:

 

 

 

 Mark LeDoux is an officer, director and 10% stockholder.

 

 

 

 

 

 

 

 

(i)

Mark LeDoux individually;

 

 

 

 

 

 

 

 

 

 

 

 

(ii)

Mark LeDoux & Julie LeDoux as JTWROS;

 

 

 

 

 

 

 

 

 

 

 

 

(iii)

LeDoux Family Limited Partnership, of which Mark LeDoux is General Partner;

 

 

 

Julie LeDoux is a member of the immediate family of Mark LeDoux.

 

 

 

 

 

 

 

 

(iv)

Descendants Trust Created under the LeDoux Family Trust, of which Mark LeDoux is Trustee; and

 

 

 

 

 

 

 

 

 

 

 

 

(v)

Marie LeDoux Foundation, of which Mark LeDoux is President.

 

 

 

 

 

 

 

 

 

 

 

 

 
 
 

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

3 (a) 

(b) 

SEC USE ONLY

(c)

(d) 

(e) 

(f) 

(g)

Title of the

Class of

Securities

To Be Sold

  

Name and Address of Each Broker Through Whom the

Securities are to be Offered or Each Market Maker

who is Acquiring the Securities

 

Broker-Dealer

File Number

Number of Shares

Or Other Units

To Be Sold

(See instr. 3(c))

  

Aggregate

Market

Value

(See instr. 3(d))

Number of Shares

Or Other Units

Outstanding

(See instr. 3(e))

Approximate

Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

  Name of Each

Securities

Exchange

(See instr. 3(g))

Common Stock

Wells Fargo Advisors

12531 High Bluff Drive, # 400

San Diego, CA 92130

  

11,389

$138,945.80

(as of November 7, 2016) 

6,872,591

 

November 9, 2016

NASDAQ

Common Stock

Roth Capital Partners

888 San Clemente Drive

Newport Beach, CA 92660

  

54,908

$669,877.60

(as of November 7, 2016)

6,872,591

November 9, 2016

NASDAQ

 

INSTRUCTIONS:

           

1.

(a)

Name of issuer

3.

(a)

Title of the class of securities to be sold

 

(b)

Issuer’s I.R.S. Identification Number

   (b) Name and address of each broker through whom the securities are intended to be sold
  (c)

Issuer’s S.E.C. file number, if any

   (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d) Issuer’s address, including zip code   (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e) Issuer’s telephone number, including area code   (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

2.

(a)

Name of person for whose account the securities are to be sold

   (f) Approximate date on which the securities are to be sold
  (b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)   (g) Name of each securities exchange, if any, on which the securities are intended to be sold
  (c) Such person’s address, including zip code      

 

Potential persons who are to 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 1147 (08-07)

 

 
 
 

 

TABLE I – SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

Date you Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

Amount of

Securities Acquired

Date of

Payment

Nature of Payment

Common Stock

2/1/1995

Market Purchase

Market Purchase

11,389

2/1/1995

Cash

 

Common Stock

12/10/2002

Contribution

Marie LeDoux

Unknown

54,908

Unknown1

Gift

 

INSTRUCTIONS:

If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

  

 

TABLE II – SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller

Title of Securities Sold

Date of Sale

Amount of

Securities Sold

Gross Proceeds

 

 

 

 

 

 

 

        

 

 

REMARKS: (1) Payment for shares received by donation on 12/10/2002 was made at an unknown time prior to that date.

 

 
 
 

 

INSTRUCTIONS:

 

ATTENTION:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

     
____________11/7/2016________________________________   /s/ Mark LeDoux, authorized signatory for each of the persons listed in box 2(a) above     
DATE OF NOTICE   /s/ Julie LeDoux, solely with respect to the person listed in box 2(a)(ii) above     
    (SIGNATURE)

 

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.

Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)