TO SECTION 6.3 AND 7.3.
SECTION 6.3.
DIVERSIFICATION ACCOUNT FUNDS.
THE COMPANY SHALL CAUSE THE
TRUSTEE TO ESTABLISH, OPERATE AND MAINTAIN INVESTMENT FUNDS ("DIVERSIFICATION
ACCOUNT FUNDS") EXCLUSIVELY FOR THE COLLECTIVE INVESTMENT AND REINVESTMENT
PURSUANT TO PARTICIPANTS' DIRECTIONS DESCRIBED IN SECTION 7.3 OF AMOUNTS HELD IN
PARTICIPANTS' DIVERSIFICATION ACCOUNTS.
THE DIVERSIFICATION ACCOUNT FUNDS
SHALL BE IDENTICAL TO THE INVESTMENT FUNDS AVAILABLE UNDER THE NBTY, INC.
401(K) SAVINGS PLAN FROM TIME TO TIME.
THE ADMINISTRATOR AND THE RECORDKEEPER
WILL ESTABLISH PROCEDURES SETTING FORTH HOW OFTEN CHANGES BETWEEN INVESTMENTS
MAY BE MADE AND ANY OTHER LIMITATIONS AND PROVISIONS THAT THEY MAY IMPOSE ON A
PARTICIPANT'S RIGHT TO DIRECT INVESTMENTS.
SECTION 6.4.
VALUATION OF FUNDS AND PLAN ACCOUNTS.
THE TRUSTEE'S DETERMINATION
OF MARKET VALUE PURSUANT TO THIS SECTION 6.4 SHALL BE BINDING AND CONCLUSIVE
UPON ALL PARTIES.
(A)
DIVERSIFICATION ACCOUNT FUNDS.
THE VALUE OF EACH DIVERSIFICATION ACCOUNT
FUND AS OF ANY VALUATION DATE SHALL BE THE MARKET VALUE OF ALL ASSETS (INCLUDING
ANY UNINVESTED CASH) HELD BY THE FUND ON SUCH VALUATION DATE AS DETERMINED BY
THE TRUSTEE, REDUCED BY THE AMOUNT OF ANY ACCRUED LIABILITIES OF THE FUND ON
SUCH VALUATION DATE.
(B)
NBTY STOCK.
THE VALUE OF NBTY STOCK AS OF ANY VALUATION DATE SHALL BE THE
MARKET VALUE OF NBTY STOCK HELD BY THE FUND ON SUCH VALUATION DATE AS DETERMINED
BY THE TRUSTEE.
14
(C)
PARTICIPANTS' ACCOUNTS.
THE VALUE OF A PARTICIPANT'S ACCOUNT AS OF ANY
VALUATION DATE SHALL BE THE SUM OF THE VALUES ON SUCH VALUATION DATE OF HIS OR
HER INVESTMENT SUBACCOUNTS IN EACH OF THE ACCOUNTS LISTED IN SECTION 7.1.
SECTION 6.5.
TRUST FUND TO BE APPLIED EXCLUSIVELY FOR PARTICIPANTS AND THEIR
BENEFICIARIES, ETC.
SUBJECT ONLY TO THE PROVISIONS OF ARTICLE 5 AND SECTIONS
13.1 AND 13.2(B) AND (C), AND ANY OTHER PROVISION OF THE PLAN TO THE CONTRARY
NOTWITHSTANDING, NO PART OF THE TRUST FUND SHALL BE USED FOR OR DIVERTED TO ANY
PURPOSE OTHER THAN FOR THE EXCLUSIVE BENEFIT OF THE PARTICIPANTS AND THEIR
BENEFICIARIES.
ARTICLE 7
PARTICIPANT ACCOUNTS,
INVESTMENT ELECTIONS, ETC.
SECTION 7.1.
PARTICIPANT ACCOUNTS.
THE ADMINISTRATOR SHALL ESTABLISH AND
MAINTAIN, OR CAUSE TO BE ESTABLISHED AND MAINTAINED, A SEPARATE ACCOUNT FOR EACH
PARTICIPANT.
EACH ACCOUNT SHALL CONSIST OF THE FOLLOWING SUBACCOUNTS:
(I)
AN ESOP ACCOUNT TO WHICH SHALL BE CREDITED SUCH ESOP
CONTRIBUTIONS AND EARNINGS AND LOSSES THEREON; AND
(II)
IF A PARTICIPANT HAS ELECTED TO DIVERSIFY, PURSUANT TO
SECTION 7.3, A PORTION OF HIS OR HER ESOP ACCOUNT AND, IF ANY, HIS OR HER
TOP-HEAVY PLAN ACCOUNT, A DIVERSIFICATION ACCOUNT TO WHICH SHALL BE CREDITED THE
PORTION OF SUCH PARTICIPANT'S ESOP ACCOUNT OR TOP-HEAVY PLAN ACCOUNT (OR BOTH)
THAT HE OR SHE ELECTED TO DIVERSIFY AND EARNINGS AND LOSSES THEREON; AND
(III)
IF CONTRIBUTIONS HAVE BEEN MADE FOR THE BENEFIT OF A PARTICIPANT
WHEN THE PLAN WAS A TOP-HEAVY PLAN WITHIN THE MEANING OF SECTION 14.1, A
TOP-HEAVY PLAN ACCOUNT TO WHICH SHALL BE CREDITED SUCH CONTRIBUTIONS AND
EARNINGS AND LOSSES THEREON.
Unless the context otherwise requires, a Participant's "Account"