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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who 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 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Share Units | (1) | 03/25/2024 | A | 8,851 | (2) | (2) | Common Stock | 8,851 | $ 0 | 8,851 | D | ||||
| Performance Share Units | (3) | 03/25/2024 | A | 2,950 | (4) | (4) | Common Stock | 2,950 (4) | $ 0 | 2,950 | D | ||||
| Restricted Share Units | (1) | 03/25/2024 | A | 32,967 | (5) | (5) | Common Stock | 32,967 | $ 0 | 32,967 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Marquardt Chad D. C/O THE HAIN CELESTIAL GROUP, INC. 221 RIVER STREET, 12TH FLOOR HOBOKEN, NJ 07030 |
President, North America | |||
| /s/ Andrew S. Burchill, as Attorney-in-Fact for Chad D. Marquardt | 03/27/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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) | Each restricted share unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. |
| (2) | The RSUs, awarded as part of the Issuer's 2024-2026 Long Term Incentive Program, vest in three (3) equal annual installments on each of October 25, 2024, 2025 and 2026. |
| (3) | Each performance share unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock. |
| (4) | The PSUs, awarded as part of the Issuer's 2024-2026 Long Term Incentive Program, are subject to both performance and time vesting requirements. The number of PSUs reported represents the target number of PSUs. The number of PSUs that vest, if any, may vary from 0% to 200% of the target number reported, and is based on goals for the Issuer's compound annual total shareholder return over the three-year period ending on October 25, 2026. The time vesting requirement will be satisfied on October 25, 2026. |
| (5) | The RSUs, granted as a one-time make-whole award intended to recognize the compensation the Reporting Person forfeited from the Reporting Person's former employer upon joining the Issuer, vest in three (3) equal annual installments on each of the first, second and third anniversaries of the grant date. |