SEC Info - Nutraceutical International Corp - IPO: ‘S-1/A’ on 1/28/98

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Nutraceutical International Corp – IPO: ‘S-1/A’ on 1/28/98

As of: Wednesday, 1/28/98 · Accession #: 950131-98-409 · File #: 333-41909

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 1/28/98  Nutraceutical International Corp  S-1/A                 27:1.4M                                   Donnelley R R & S… 03/FA

Initial Public Offering (IPO): Pre-Effective Amendment to Registration Statement (General Form) — Form S-1
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: S-1/A       Amendment No. 1 to Form S-1                           86    523K 
 2: EX-3.1      Form of Amended and Restated Certificate              10     43K 
 3: EX-3.2      Form of By-Laws of the Registrant                     14     59K 
 4: EX-4.1      Form of Certificate Representing Common Stock          2     13K 
 5: EX-10.1     Revolving Credit and Term Loan Agreement             138    501K 
14: EX-10.10    Second Amendment to Warrants                           8     29K 
15: EX-10.11    Stock Option Agreement                                14     56K 
16: EX-10.12    Stock Option Agreement                                14     57K 
17: EX-10.13    Stock Option Agreement                                12     55K 
18: EX-10.14    Form of Area Sales Consultant Agreement               12     51K 
19: EX-10.15    Form of Transaction Services Agreement                 4     21K 
20: EX-10.16    Form of Termination Agreement                          4     17K 
21: EX-10.17    Form of Indemnification Agreement                      9     47K 
22: EX-10.18    1998 Stock Incentive Plan                             10     42K 
23: EX-10.19    Non-Employee Director Stock Option Plan                7     35K 
 6: EX-10.2     Waiver and Amendment to Revolving Credit              11     34K 
24: EX-10.20    Employee Stock Discount Purchase Plan                  7     33K 
 7: EX-10.3     Amended and Restated Stockholders Agreement           31     95K 
 8: EX-10.4     Amended and Restated Registration Agreement           29     89K 
 9: EX-10.5     Investor Agreement                                     9     42K 
10: EX-10.6     Consultant Stock Agreement                            24     77K 
11: EX-10.7     Executive Stock Agreement                             26     81K 
12: EX-10.8     Warrants                                              56    216K 
13: EX-10.9     First Amendment to Warrants                            5     20K 
25: EX-11.1     Computation of Pro Forma                               2±    12K 
26: EX-21.1     Subsidiaries of the Company                            1      9K 
27: EX-23.1     Consent of Price Waterhouse, LLP                       1      9K

Filing Submission 0000950131-98-000409 – SGML Text

Original SGML Text submitted by:	Donnelley Financial Solutions 03/FA (as Filing Agent)

⇓Show all <DOCUMENT> <TEXT> elements below – 1.4M ↑Top ↓Bottom

<SUBMISSION>
<SECRELEASE-DATETIME>		19980129-143758	 ⇐ Metadata from SEC Info (ET)
<SECWEBSITE-DATETIME>		19980129-143758	 ⇐ Metadata from SEC Info (ET)
<ACCESSION-NUMBER>		0000950131-98-000409
<TYPE>				S-1/A
<PUBLIC-DOCUMENT-COUNT>		27
<FILING-DATE>			19980128
<SROS>				NASD

<FILER>
<COMPANY-DATA>
<CONFORMED-NAME>		NUTRACEUTICAL INTERNATIONAL CORP
<CIK>				0001050007
<ASSIGNED-SIC>			2833
<IRS-NUMBER>			870515089  ⇒ 87-0515089
<STATE-OF-INCORPORATION>	DE
<FISCAL-YEAR-END>		0830
</COMPANY-DATA>
<FILING-VALUES>
<FORM-TYPE>			S-1/A
<ACT>				33
<FILE-NUMBER>			333-41909
<FILM-NUMBER>			98515484
</FILING-VALUES>
<BUSINESS-ADDRESS>
<STREET1>			1400 KEARNS BOULEVARD
<STREET2>			2ND FLOOR
<CITY>				PARK CITY
<STATE>				UT
<ZIP>				84060
<PHONE>				8016566000
</BUSINESS-ADDRESS>
<MAIL-ADDRESS>
<STREET1>			1400 KEARNS BOULEVARD
<STREET2>			2ND FLOOR
<CITY>				PARK CITY
<STATE>				UT
<ZIP>				84060
</MAIL-ADDRESS>
</FILER>

<DOCUMENT>
<TYPE>		S-1/A
<SEQUENCE>	1
<DESCRIPTION>	AMENDMENT NO. 1 TO FORM S-1
<TEXT>
       Show <TEXT>: 5,848 lines (widest: 119 characters) - 333K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-3.1
<SEQUENCE>	2
<DESCRIPTION>	FORM OF AMENDED AND RESTATED CERTIFICATE
<TEXT>
       Show <TEXT>: 534 lines (widest: 80 characters) - 33K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-3.2
<SEQUENCE>	3
<DESCRIPTION>	FORM OF BY-LAWS OF THE REGISTRANT
<TEXT>
       Show <TEXT>: 744 lines (widest: 80 characters) - 46K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-4.1
<SEQUENCE>	4
<DESCRIPTION>	FORM OF CERTIFICATE REPRESENTING COMMON STOCK
<TEXT>
       Show <TEXT>: 105 lines (widest: 80 characters) - 5K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.1
<SEQUENCE>	5
<DESCRIPTION>	REVOLVING CREDIT AND TERM LOAN AGREEMENT
<TEXT>
       Show <TEXT>: 6,945 lines (widest: 80 characters) - 412K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.2
<SEQUENCE>	6
<DESCRIPTION>	WAIVER AND AMENDMENT TO REVOLVING CREDIT
<TEXT>
       Show <TEXT>: 409 lines (widest: 80 characters) - 19K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.3
<SEQUENCE>	7
<DESCRIPTION>	AMENDED AND RESTATED STOCKHOLDERS AGREEMENT
<TEXT>
       Show <TEXT>: 1,143 lines (widest: 80 characters) - 67K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.4
<SEQUENCE>	8
<DESCRIPTION>	AMENDED AND RESTATED REGISTRATION AGREEMENT
<TEXT>
       Show <TEXT>: 1,090 lines (widest: 80 characters) - 61K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.5
<SEQUENCE>	9
<DESCRIPTION>	INVESTOR AGREEMENT
<TEXT>
       Show <TEXT>: 442 lines (widest: 80 characters) - 24K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.6
<SEQUENCE>	10
<DESCRIPTION>	CONSULTANT STOCK AGREEMENT
<TEXT>
       Show <TEXT>: 876 lines (widest: 80 characters) - 48K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.7
<SEQUENCE>	11
<DESCRIPTION>	EXECUTIVE STOCK AGREEMENT
<TEXT>
       Show <TEXT>: 908 lines (widest: 80 characters) - 49K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.8
<SEQUENCE>	12
<DESCRIPTION>	WARRANTS
<TEXT>
       Show <TEXT>: 2,707 lines (widest: 80 characters) - 156K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.9
<SEQUENCE>	13
<DESCRIPTION>	FIRST AMENDMENT TO WARRANTS
<TEXT>
       Show <TEXT>: 184 lines (widest: 80 characters) - 10K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.10
<SEQUENCE>	14
<DESCRIPTION>	SECOND AMENDMENT TO WARRANTS
<TEXT>
       Show <TEXT>: 290 lines (widest: 80 characters) - 16K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.11
<SEQUENCE>	15
<DESCRIPTION>	STOCK OPTION AGREEMENT
<TEXT>
       Show <TEXT>: 611 lines (widest: 80 characters) - 33K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.12
<SEQUENCE>	16
<DESCRIPTION>	STOCK OPTION AGREEMENT
<TEXT>
       Show <TEXT>: 619 lines (widest: 80 characters) - 33K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.13
<SEQUENCE>	17
<DESCRIPTION>	STOCK OPTION AGREEMENT
<TEXT>
       Show <TEXT>: 575 lines (widest: 80 characters) - 32K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.14
<SEQUENCE>	18
<DESCRIPTION>	FORM OF AREA SALES CONSULTANT AGREEMENT
<TEXT>
       Show <TEXT>: 630 lines (widest: 80 characters) - 37K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.15
<SEQUENCE>	19
<DESCRIPTION>	FORM OF TRANSACTION SERVICES AGREEMENT
<TEXT>
       Show <TEXT>: 170 lines (widest: 80 characters) - 9K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.16
<SEQUENCE>	20
<DESCRIPTION>	FORM OF TERMINATION AGREEMENT
<TEXT>
       Show <TEXT>: 131 lines (widest: 80 characters) - 7K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.17
<SEQUENCE>	21
<DESCRIPTION>	FORM OF INDEMNIFICATION AGREEMENT
<TEXT>
       Show <TEXT>: 466 lines (widest: 80 characters) - 28K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.18
<SEQUENCE>	22
<DESCRIPTION>	1998 STOCK INCENTIVE PLAN
<TEXT>
       Show <TEXT>: 487 lines (widest: 80 characters) - 28K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.19
<SEQUENCE>	23
<DESCRIPTION>	NON-EMPLOYEE DIRECTOR STOCK OPTION PLAN
<TEXT>
       Show <TEXT>: 377 lines (widest: 80 characters) - 23K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.20
<SEQUENCE>	24
<DESCRIPTION>	EMPLOYEE STOCK DISCOUNT PURCHASE PLAN
<TEXT>
       Show <TEXT>: 364 lines (widest: 80 characters) - 21K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-11.1
<SEQUENCE>	25
<DESCRIPTION>	COMPUTATION OF PRO FORMA
<TEXT>
       Show <TEXT>: 62 lines (widest: 80 characters) - 4K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-21.1
<SEQUENCE>	26
<DESCRIPTION>	SUBSIDIARIES OF THE COMPANY
<TEXT>
       Show <TEXT>: 40 lines (widest: 80 characters) - 2K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-23.1
<SEQUENCE>	27
<DESCRIPTION>	CONSENT OF PRICE WATERHOUSE, LLP
<TEXT>
       Show <TEXT>: 21 lines (widest: 79 characters) - 943 bytes  
</TEXT>
</DOCUMENT>

</SUBMISSION>

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Filing Submission 0000950131-98-000409 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Nutraceutical International Corp – IPO: ‘S-1/A’ on 1/28/98

As of: Wednesday, 1/28/98 · Accession #: 950131-98-409 · File #: 333-41909

Previous ‘S-1’: ‘S-1’ on 12/10/97 · Next & Latest: ‘S-1/A’ on 2/11/98

Initial Public Offering (IPO): Pre-Effective Amendment to Registration Statement (General Form) — Form S-1Filing Table of Contents

Initial Public Offering (IPO): Pre-Effective Amendment to Registration Statement (General Form) — Form S-1
Filing Table of Contents