Filing Details
- Accession Number:
- 0001071405-12-000034
- Form Type:
- 5/A
- Zero Holdings:
- No
- Publication Time:
- 2012-03-19 14:15:54
- Reporting Period:
- 2009-12-31
- Filing Date:
- 2012-03-19
- Accepted Time:
- 2012-03-19 14:15:54
- Original Submission Date:
- 2012-03-08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 806175 | New Leaf Brands Inc. | NLEF | Bottled & Canned Soft Drinks & Carbonated Waters (2086) | 770125664 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1071405 | Lee Orrie Tawes | 100 Wall Street 8Th Floor New York NY 10005 | Yes | 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 | 2009-12-21 | 236,434 | $0.00 | 13,835,533 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2009-02-05 | 0 | $0.00 | 75,000 | $0.80 |
| Common Stock | Warrants | Acquisiton | 2009-03-06 | 0 | $0.00 | 175,000 | $0.80 |
| Common Stock | Warrants Exercise | Acquisiton | 2009-12-21 | 1,238,348 | $0.00 | 0 | $0.00 |
| Common Stock | Conv of Pfd 1 | Acquisiton | 2009-10-21 | 1,722,728 | $0.00 | 0 | $0.00 |
| Common Stock | Conv of Note Pb1 | Acquisiton | 2009-12-15 | 9,623,728 | $0.00 | 0 | $0.25 |
| Common Stock | Conv of Note Pb1 | Acquisiton | 2009-11-19 | 1,200,012 | $0.00 | 0 | $0.25 |
| Common Stock | Conv of Note Pb1 | Acquisiton | 2009-11-19 | 167,700 | $0.00 | 0 | $0.25 |
| Common Stock | Warrants | Acquisiton | 2009-12-15 | 1,016,083 | $0.00 | 0 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 260,000 | 2009-02-05 | 2014-02-05 | No | 4 | P | Direct |
| 260,000 | 2009-03-06 | 2014-03-06 | No | 4 | P | Direct |
| 260,000 | 2009-10-21 | 2014-10-21 | No | 4 | D | Direct |
| 260,000 | 2009-12-21 | 2014-10-21 | No | 4 | D | Direct |
| 260,000 | 2009-12-15 | 2014-12-15 | No | 4 | D | Direct |
| 260,000 | 2009-11-19 | 2014-11-19 | No | 4 | D | Direct |
| 260,000 | 2009-11-19 | 2014-11-19 | No | 4 | D | Direct |
| 260,000 | 2009-12-15 | 2014-12-15 | No | 4 | D | Direct |
Footnotes
- Dividend on Preferred Series I shares
- Distribution without value to staff at Northeast Securities
Billionaire Hedge Funds
