Initial Statement of Beneficial Ownership (3)
May 18 2021 - 3:16PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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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1. Name and Address of Reporting Person
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Broady Brunde E |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/11/2021
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3. Issuer Name and Ticker or Trading Symbol
NATURAL HEALTH TRENDS CORP [NHTC]
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(Last)
(First)
(Middle)
UNITS 1205-07, 12/F, MIRA PLACE TOWER A, 132 NATHAN ROAD, TSIMSHATSUI |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
KOWLOON, HONG KONG, K3 0000000000
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 0 (1)(2) | D (1)(2) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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 |
| Explanation of Responses: |
| (1) | Ms. Broady is co-trustee of the Eleanor Jane Broady 2012 Irrevocable Trust (the "EJB Trust") along with four other co-trustees, and the co-trustees must act jointly through a majority in order to take action under the terms of the EJB Trust, including the exercise of voting or investment powers with respect to the 2,245,128 shares of common stock of Natural Health Trends Corp. (the "Company") held by the EJB Trust. Ms. Broady expressly disclaims beneficial ownership of any shares of the Company's common stock held by the EJB Trust, within the meaning of Rule 13d-3 under the Securities Act of 1934. |
| (2) | Ms. Broady, along with four other individuals, is currently named a successor co-trustee of the George K. Broady 2012 Irrevocable Trust (the "GKB Trust"), and that in the event such successor co-trustees commence serving as co-trustees, they must act jointly through a majority in order to take action under the terms of the GKB Trust, including the exercise of voting or investment powers with respect to the 690,099 shares of the Company's common stock held by the GKB Trust. Ms. Broady expressly disclaims beneficial ownership of any shares of the Company's common stock held by the GKB Trust, within the meaning of Rule 13d-3 under the Securities Act of 1934. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Broady Brunde E
UNITS 1205-07, 12/F, MIRA PLACE TOWER A
132 NATHAN ROAD, TSIMSHATSUI
KOWLOON, HONG KONG, K3 0000000000 | X |
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Signatures
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| /s/ Timothy S. Davidson, by Power of Attorney | | 5/18/2021 |
| **Signature of Reporting Person | Date |
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