Zusman David 4

Accession 0000919574-12-002619

CIK 0001426506other

Filed

Apr 1, 8:00 PM ET

Accepted

Apr 2, 7:44 PM ET

Size

25.7 KB

Accession

0000919574-12-002619

Form 4

Period: 2011-08-31

10% Owner

Transactions

Purchase
Warrant
2011-08-31$5.05/sh+1,000$5,050→ 646,000 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (1,000 underlying)
Purchase
Common Shares
2012-03-29$3.45/sh+1,000$3,450→ 652,600 total(indirect: See Footnote)
Purchase
Common Shares
2011-09-27$4.52/sh+500$2,260→ 646,500 total(indirect: See Footnote)
Purchase
Warrant
2011-09-30$4.35/sh+4,000$17,400→ 650,600 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (4,000 underlying)
Purchase
Common Shares
2011-09-30$4.35/sh+4,000$17,400→ 650,600 total(indirect: See Footnote)
Purchase
Common Shares
2011-08-31$5.05/sh+1,000$5,050→ 646,000 total(indirect: See Footnote)
Purchase
Warrant
2011-09-29$4.55/sh+100$455→ 646,600 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (100 underlying)
Purchase
Common Shares
2012-01-31$3.60/sh+1,000$3,600→ 651,600 total(indirect: See Footnote)
Purchase
Common Shares
2011-09-29$4.55/sh+100$455→ 646,600 total(indirect: See Footnote)
Purchase
Warrant
2011-09-27$4.52/sh+500$2,260→ 646,500 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (500 underlying)

10% Owner

Transactions

Purchase
Common Shares
2012-03-29$3.45/sh+1,000$3,450→ 652,600 total(indirect: See Footnote)
Purchase
Common Shares
2011-08-31$5.05/sh+1,000$5,050→ 646,000 total(indirect: See Footnote)
Purchase
Warrant
2011-08-31$5.05/sh+1,000$5,050→ 646,000 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (1,000 underlying)
Purchase
Warrant
2011-09-29$4.55/sh+100$455→ 646,600 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (100 underlying)
Purchase
Common Shares
2011-09-27$4.52/sh+500$2,260→ 646,500 total(indirect: See Footnote)
Purchase
Common Shares
2012-01-31$3.60/sh+1,000$3,600→ 651,600 total(indirect: See Footnote)
Purchase
Warrant
2011-09-27$4.52/sh+500$2,260→ 646,500 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (500 underlying)
Purchase
Common Shares
2011-09-30$4.35/sh+4,000$17,400→ 650,600 total(indirect: See Footnote)
Purchase
Common Shares
2011-09-29$4.55/sh+100$455→ 646,600 total(indirect: See Footnote)
Purchase
Warrant
2011-09-30$4.35/sh+4,000$17,400→ 650,600 total(indirect: See Footnote)
Exercise: $5.75From: 2011-06-01Exp: 2016-05-01→ Common Shares (4,000 underlying)

Footnotes (2)

[F1]Prior to October 12, 2011, the Reporting Persons owned 645,000 units. Each unit consists of one share of Class A common stock and one warrant to purchase one share of common stock at an exercise price of $5.75 per share. On October 12, 2011, the Reporting Persons converted each unit to one share of Class A common stock and one warrant.
[F2]These securities are held in the accounts of several investment partnerships and investment funds (collectively, the "Investment Vehicles") for which Talara serves as investment manager or general partner. David Zusman is the managing member of Talara. Talara and Mr. Zusman may be deemed to beneficially own the securities held by the Investment Vehicles by virtue of Talara's position as investment manager or general partner of the Investment Vehicles and Mr. Zusman's status as the managing member of Talara. Each reporting person hereby disclaims beneficial ownership over the securities, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that any reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Documents

1 file

SMG Indium Resources Ltd.

CIK 0001426506

Entity typeother