Filing Details
- Accession Number:
- 0001140361-12-006430
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-09 10:08:17
- Reporting Period:
- 2012-02-08
- Filing Date:
- 2012-02-09
- Accepted Time:
- 2012-02-09 10:08:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1355304 | U-Swirl Inc. | SWRL | Retail-Eating Places (5812) | 432092180 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1429549 | A Terry Cartwright | 1175 American Pacific Drive, Suite C Henderson NV 89074 | Chief Operating Officer | No | Yes | No | 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 | 2012-02-08 | 1,500 | $0.21 | 99,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 140,000 | Indirect | By Gold Key Management Corp. |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options (Right to Buy) | $4.40 | 2012-06-30 | 31,250 | 31,250 | Direct | |
| Common Stock | Class A Warrant (Right to Buy) | $5.10 | 2008-04-18 | 2013-03-19 | 500 | 500 | Direct |
| Common Stock | Class B Warrant (Right to Buy) | $10.20 | 2008-04-18 | 2013-03-19 | 1,000 | 1,000 | Direct |
| Common Stock | Class C Warrant (Right to Buy) | $0.60 | 2015-10-13 | 12,500 | 12,500 | Direct | |
| Common Stock | Options (Right to Buy) | $0.42 | 2016-05-16 | 175,000 | 175,000 | Direct | |
| Common Stock | Options (Right to Buy) | $0.28 | 2016-11-17 | 59,000 | 59,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-06-30 | 31,250 | 31,250 | Direct |
| 2013-03-19 | 500 | 500 | Direct |
| 2013-03-19 | 1,000 | 1,000 | Direct |
| 2015-10-13 | 12,500 | 12,500 | Direct |
| 2016-05-16 | 175,000 | 175,000 | Direct |
| 2016-11-17 | 59,000 | 59,000 | Direct |
Footnotes
- Class C Warrants are exercisable after they become separately quotable and redeemable at $0.05 per warrant, upon 30 days' written notice, at any time after the date on which the closing price of the common stock has equaled or exceeded $0.80 for five consecutive trading days.
- All of the options vested as of March 1, 2009.
- Options were granted as compensation. 50% of options vest on 5/16/2012 and the remaining 50% of options vest on 5/16/2013.
- Options granted as compensation. 29,500 options vest on 11/17/2012 with the remaining 29,500 options vesting on 11/17/2013.
Billionaire Hedge Funds
