Filing Details
- Accession Number:
- 0001140361-13-005152
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-02-07 15:08:44
- Reporting Period:
- 2013-02-05
- Filing Date:
- 2013-02-07
- Accepted Time:
- 2013-02-07 15:08:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1100592 | Assured Pharmacy Inc. | APHY | Retail-Drug Stores And Proprietary Stores (5912) | 980233878 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1564820 | Pinewood Trading Fund, Lp | 1029 East Dr. Beaumont TX 77706 | No | No | Yes | No | |
| 1564823 | E Jack Brooks | 1029 East Drive Beaumont TX 77706 | No | No | Yes | No | |
| 1564825 | Sagewood, Llc | 1029 East Dr. Beaumont TX 77706 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-02-05 | 769,230 | $0.00 | 865,266 | No | 4 | P | Indirect | By Pinewood Trading Fund, LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Pinewood Trading Fund, LP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B Preferred Stock | Acquisiton | 2013-02-05 | 333,600 | $0.00 | 333,600 | $0.90 |
| Common Stock | Common Stock Warrants | Acquisiton | 2013-02-05 | 32,640 | $0.00 | 32,640 | $0.90 |
| Common Stock | 16% Convertible Debentures | Acquisiton | 2013-02-05 | 16,000 | $0.00 | 16,000 | $0.90 |
| Common Stock | Common Stock Warrants | Acquisiton | 2013-02-05 | 769,230 | $0.00 | 769,230 | $0.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 667,200 | No | 4 | J | Indirect | ||
| 80,640 | 2011-11-30 | 2016-11-30 | No | 4 | J | Indirect |
| 56,000 | 2011-11-30 | 2014-05-30 | No | 4 | J | Indirect |
| 769,230 | 2013-02-05 | 2016-02-05 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 65,000 | Direct | |
| Common Stock | 8,987 | Indirect | By IRA |
Footnotes
- The reported securities are included within Units purchased by the reporting person for an aggregate of $500,000 for the Units. The Units consist of 769,230 shares of Common Stock and 769,230 warrants exercisable for shares of Common Stock.
- The reported securities are owned directly by Pinewood Trading Fund, L.P., and indirectly by Sagewood, LLC, as General Partner of Pinewood Trading Fund, L.P., and Jack E. Brooks, as Manager of Sagewood, LLC. Sagewood, LLC and Jack E. Brooks disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.
- The reported securities are owned directly and indirectly by Jack E. Brooks.
- The shares were acquired as a result of the resetting of the conversion price of the securities previously reported, resulting from the triggering of the anti-dilution adjustments contained in the securities.
- Series B Preferred Stock is convertible at any time at the reporting person's election, and has no expiration date.
Billionaire Hedge Funds
