NATR

SEC source: 0001263696-20-000008 · wf-form4_160219725713904.xml · derivative · entry 5

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 6,000 shares

Expires 2021-12-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a December 21, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-sixth of the PRSU grant vests upon the achievement of each milestone.

F5 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon six growth rate milestones related to NATR's closing stock price that may be attained within a three-year performance period ending December 4, 2021. PRSUs vest in six equal installments at each of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34.

F5 · derivative.expiration_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon six growth rate milestones related to NATR's closing stock price that may be attained within a three-year performance period ending December 4, 2021. PRSUs vest in six equal installments at each of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34.

SEC source: 0001263696-20-000008 · wf-form4_160219725713904.xml · nonDerivative · entry 4

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,355

F4 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on March 6, 2019. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000008 · wf-form4_160219725713904.xml · nonDerivative · entry 3

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,898

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 6, 2019 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-sixth of the PRSU grant vests upon the achievement of each milestone.

F3 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 6, 2019 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-sixth of the PRSU grant vests upon the achievement of each milestone.

SEC source: 0001263696-20-000008 · wf-form4_160219725713904.xml · nonDerivative · entry 2

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,676

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on December 21, 2018. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000008 · wf-form4_160219725713904.xml · nonDerivative · entry 1

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,143

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a December 21, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-sixth of the PRSU grant vests upon the achievement of each milestone.

F1 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a December 21, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-sixth of the PRSU grant vests upon the achievement of each milestone.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · derivative · entry 9

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,605

Underlying: Common Shares · 9,908 shares

Expires 2023-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to an April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F8 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon six growth rate milestones related to NATR's closing stock price that may be attained within a three-year performance period ending March 29, 2022. PRSUs vest in six equal installments in connection with achievement of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · derivative · entry 8

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,038

Underlying: Common Shares · 9,117 shares

Expires 2022-03-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 29, 2019 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F8 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon six growth rate milestones related to NATR's closing stock price that may be attained within a three-year performance period ending March 29, 2022. PRSUs vest in six equal installments in connection with achievement of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · derivative · entry 7

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,741

Underlying: Common Shares · 12,431 shares

Expires 2021-09-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a September 14, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F7 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon six growth rate milestones related to NATR's closing stock price that may be attained within a three-year performance period ending September 14, 2021. PRSUs vest in six equal installments in connection with achievement of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 6

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,704

F6 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on April 1, 2020. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 5

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,127

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to an April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F5 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to an April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 4

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,219

F4 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on March 29, 2019. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 3

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,448

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 29, 2019 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 29, 2019 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 2

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,331

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on September 14, 2018. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-20-000007 · wf-form4_160219714722717.xml · nonDerivative · entry 1

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,370

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a September 14, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F1 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a September 14, 2018 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-21-000001 · wf-form4a_161109995509408.xml · derivative · entry 3

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,130

Underlying: Common Shares · 9,908 shares

Expires 2022-03-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents shares in the form of performance-based restricted stock units (PRSUs) that were incorrectly reported as having vested from an April 1, 2020 grant, but should have been reported as having vested from the March 29, 2019 PRSU grant.

F3 · derivative.exercise_date: Represents shares in the form of performance-based restricted stock units (PRSUs) that were incorrectly reported as having vested from an April 1, 2020 grant, but should have been reported as having vested from the March 29, 2019 PRSU grant.

SEC source: 0001754431-21-000001 · wf-form4a_161109995509408.xml · nonDerivative · entry 2

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,704

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on March 29, 2019. The number of shares withheld was determined on October 6, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-21-000001 · wf-form4a_161109995509408.xml · nonDerivative · entry 1

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,127

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to an April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F1 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to an April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $11.77 share price milestone over a period of 45-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-20-000006 · wf-form4_160045792125782.xml · nonDerivative · entry 1

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,939

F1 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of restricted stock units originally granted to the Reporting Person on September 14, 2018. The number of shares withheld was determined on September 14, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-20-000005 · wf-form4_159830687744272.xml · derivative · entry 3

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,513

Underlying: Common Shares · 9,319 shares

Expires 2023-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.expiration_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-20-000005 · wf-form4_159830687744272.xml · nonDerivative · entry 2

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,945

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on April 1, 2020. The number of shares withheld was determined on August 20, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001754431-20-000005 · wf-form4_159830687744272.xml · nonDerivative · entry 1

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,223

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F1 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a April 1, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001263696-20-000007 · wf-form4_159830669112979.xml · derivative · entry 3

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,855

Underlying: Common Shares · 4,259 shares

Expires 2023-03-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 30, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.expiration_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001263696-20-000007 · wf-form4_159830669112979.xml · nonDerivative · entry 2

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,143

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance-based restricted stock units originally granted to the Reporting Person on March 30, 2020. The number of shares withheld was determined on August 20, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000007 · wf-form4_159830669112979.xml · nonDerivative · entry 1

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,184

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 30, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F1 · price: These shares are vested shares resulting from the achievement of a share price milestone pursuant to a March 30, 2020 performance-based restricted stock unit grant (PRSU). The shares vested upon achievement of the first $9.92 share price milestone over a period of 30-trading days. One-twelfth of the PRSU grant vests upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001821126-20-000004 · wf-form4_159744033775753.xml · nonDerivative · entry 1

Wissmiller Heidi · CIK 0001821126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,949

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001501527-21-000001 · wf-form4_161133292250043.xml · nonDerivative · entry 1

Mercer Robert B · CIK 0001501527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,528

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents shares of NATR Common Stock that were issued as the net exercise of stock options to acquire 25,000 shares.

SEC source: 0000899243-20-015620 · doc4.xml · nonDerivative · entry 1

PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. · CIK 0001166152 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,499,404

F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Prescott Group Capital Management, L.L.C. ("Prescott Capital") or Phil Frohlich, the managing member of Prescott Capital, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, no par value per share (the "Common Stock"), of Nature's Sunshine Products, Inc. (the "Issuer") held by (i) Prescott Group Aggressive Small Cap Master Fund, G.P. (the "Master Fund") for the accounts of Prescott Group Aggressive Small Cap, L.P. and Prescott Group Aggressive Small Cap II, L.P. (together, the "Small Cap Funds") and (ii) a partnership of which Prescott Capital serves as the general partner (the "Account"). Pursuant to Rule 16a-1, both Prescott Capital and Mr. Frohlich disclaim such beneficial ownership.

F2 · ownership.nature: This Form 4 relates to shares of Common Stock of the Issuer held (i) in the account of the Master Fund (1,497,836 shares), of which the Small Cap Funds are general partners and (ii) the Account (1,568 shares), of which Prescott Capital is the general partner. Prescott Capital serves as the general partner and investment manager of the Small Cap Funds and may direct the Small Cap Funds. The Master Fund holds the shares of Common Stock for the accounts of the Small Cap Funds. Prescott Capital receives a portion of the profits in the way of a capital allocation from, and owns a partnership interest in, the Small Cap Funds. Prescott Capital owns a partnership interest in the Account. Phil Frohlich reports the Common Stock held indirectly by Prescott Capital because, as the managing member of Prescott Capital at the time of purchase, he controlled the disposition and voting of the securities.

SEC source: 0001104659-20-063172 · tm2020114-1_form4.xml · nonDerivative · entry 2

WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner

WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner

WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner

WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner

WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner

Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner

OBUS NELSON · CIK 0001017043 · 10% owner

LANDES JOSHUA · CIK 0001251568 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,648,070

F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,135,646 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 460,695 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

SEC source: 0001104659-20-063172 · tm2020114-1_form4.xml · nonDerivative · entry 1

WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner

WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner

WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner

WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner

WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner

Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner

OBUS NELSON · CIK 0001017043 · 10% owner

LANDES JOSHUA · CIK 0001251568 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,091

F1 · ownership.direct: The Reporting Person directly beneficially owns 751,091 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

SEC source: 0001236872-20-000002 · wf-form4_158898566131984.xml · nonDerivative · entry 1

MOSS RICHARD D · CIK 0001236872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,289

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001628280-20-007274 · wf-form4_158898640619047.xml · nonDerivative · entry 1

SPRINGER MARY BETH · CIK 0001203228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,814

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001399886-20-000003 · wf-form4_158896634908963.xml · nonDerivative · entry 1

Teets John Christopher · CIK 0001399886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,840

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001389219-20-000002 · wf-form4_158896561014755.xml · nonDerivative · entry 1

Straus Robert D · CIK 0001389219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,694

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001300096-20-000002 · wf-form4_158896500642684.xml · nonDerivative · entry 1

Watkins Jeffrey D · CIK 0001300096 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,915

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001501527-20-000002 · wf-form4_158896482227850.xml · nonDerivative · entry 1

Mercer Robert B · CIK 0001501527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,313

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001786427-20-000002 · wf-form4_158896460306757.xml · nonDerivative · entry 1

Zou Lily · CIK 0001786427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,075

F1 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in monthly installments from the initial grant date through May 6, 2021.

SEC source: 0001263696-20-000006 · wf-form4_158889021757279.xml · nonDerivative · entry 2

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,925

F3 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of performance restricted stock units originally granted to the Reporting Person on February 12, 2018. The number of shares withheld was determined on May 5, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000006 · wf-form4_158889021757279.xml · nonDerivative · entry 1

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,534

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents shares of NATR common stock granted pursuant to the vesting of performance restricted stock units originally granted to the Reporting Person on February 12, 2018. These shares vested upon the Company's achievement of between $32.0 million and $40.0 million Adjusted EBITDA over a rolling 4 quarter period.

F2 · price: Performance restricted stock units convert into common stock on a one-to-one basis.

SEC source: 0001754431-20-000004 · wf-form4_158586688002137.xml · derivative · entry 4

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,155

Underlying: Common Shares · 59,451 shares

Expires 2022-03-29

F4 · derivative.exercise_price: These shares are in the form of performance-based restricted stock units (PRSUs) granted pursuant to the employment agreement between the issuer and the reporting person. Each PRSU represents the right to receive one share of NATR common stock. PRSUs vest in six equal installments at each of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34, which must be achieved within a two-year performance period ending March 29, 2022.

F4 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs) granted pursuant to the employment agreement between the issuer and the reporting person. Each PRSU represents the right to receive one share of NATR common stock. PRSUs vest in six equal installments at each of the six following stock price milestones: $11.77; $14.48; $17.20; $19.91; $22.63; and $25.34, which must be achieved within a two-year performance period ending March 29, 2022.

SEC source: 0001754431-20-000004 · wf-form4_158586688002137.xml · derivative · entry 3

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,832

Underlying: Common Shares · 111,832 shares

Expires 2023-04-01

F3 · derivative.exercise_price: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001754431-20-000004 · wf-form4_158586688002137.xml · nonDerivative · entry 2

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,904

F2 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in three equal annual installments beginning on April 1, 2021.

SEC source: 0001263696-20-000004 · wf-form4_158577944697370.xml · derivative · entry 3

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,114

Underlying: Common Shares · 51,114 shares

Expires 2023-03-30

F3 · derivative.exercise_price: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

F3 · derivative.exercise_date: These shares are in the form of performance-based restricted stock units (PRSUs). Each PRSU represents the right to receive one share of NATR common stock. The vesting of the PRSUs is contingent upon the achievement of the following share price milestones, which must be achieved within three years: $9.92; $12.20; $14.50; $16.78; $19.07; and $21.36. Such milestones must be achieved as evidenced by the Volume-weighted average price (VWAP) over a period of 30-trading days. One-twelfth of the PRSUs vest upon the achievement of each milestone and an additional one-twelfth vests on the date that is one-year following the achievement of such milestone subject to the recipient's continued employment.

SEC source: 0001263696-20-000004 · wf-form4_158577944697370.xml · nonDerivative · entry 2

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,034

F2 · shares: These shares are in the form of restricted stock units (RSUs). Each RSU represents the right to receive one share of NATR common stock. These RSUs vest in three equal annual installments beginning on March 30, 2021.

SEC source: 0001754431-20-000004 · wf-form4_158586688002137.xml · nonDerivative · entry 1

Moorehead Terrence · CIK 0001754431 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,776

F1 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of restricted stock units originally granted to the Reporting Person on March 29, 2019. The number of shares withheld was determined on March 30, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000004 · wf-form4_158577944697370.xml · nonDerivative · entry 1

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,724

F1 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of restricted stock units originally granted to the Reporting Person on February 12, 2018. The number of shares withheld was determined on February 12, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000002 · wf-form4_157808841542308.xml · nonDerivative · entry 2

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,536

F2 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of restricted stock units originally granted to the Reporting Person on January 2, 2019. The number of shares withheld was determined on January 2, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001263696-20-000002 · wf-form4_157808841542308.xml · nonDerivative · entry 1

BATY JOSEPH W · CIK 0001263696 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,854

F1 · shares: Represents shares of NATR common stock withheld to pay taxes upon vesting of restricted stock units originally granted to the Reporting Person on January 1, 2017. The number of shares withheld was determined on January 2, 2020, based on the closing price of NATR common stock on that date.

SEC source: 0001104659-19-072359 · tm1925169-1_4.xml · nonDerivative · entry 2

Shanghai Fosun Pharmaceutical (Group) Co., Ltd. · CIK 0001615258 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Fosun Industrial Co., Limited

Disclosed balance after: 39,125

F3 · shares: These shares represent shares that were issued to Fosun Industrial Co., Limited on the instruction of a former director of the Issuer upon the exercise of certain stock options (the "Options") that were initially granted to the former director, as agreed between the former director and the Reporting Person.

F4 · price: Represents the exercise price paid by Fosun Industrial Co., Limited on behalf of the former director of the Issuer for the shares underlying the Options upon the exercise of the Options.

F2 · ownership.nature: Fosun Industrial Co., Limited is a wholly owned subsidiary of the Reporting Person.

SEC source: 0001104659-19-072359 · tm1925169-1_4.xml · nonDerivative · entry 1

Shanghai Fosun Pharmaceutical (Group) Co., Ltd. · CIK 0001615258 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Fosun Industrial Co., Limited

Disclosed balance after: 14,125

F1 · shares: These shares represent shares that were issued to Fosun Industrial Co., Limited on the instruction of a former director of the Issuer upon the vesting of certain restricted stock units that were initially granted to the former director, as agreed between the former director and the Reporting Person.

F2 · ownership.nature: Fosun Industrial Co., Limited is a wholly owned subsidiary of the Reporting Person.

SEC source: 0001104659-19-071437 · tm1924270-5_form4.xml · nonDerivative · entry 4

WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner

WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner

WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner

WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner

WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner

Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner

OBUS NELSON · CIK 0001017043 · 10% owner

LANDES JOSHUA · CIK 0001251568 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,641,540

F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,129,116 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 460,695 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 51,729 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.