4//SEC Filing
CARTWRIGHT TERRY A 4
Accession 0001140361-11-044926
CIK 0001355304other
Filed
Sep 6, 8:00 PM ET
Accepted
Sep 7, 3:14 PM ET
Size
12.0 KB
Accession
0001140361-11-044926
Insider Transaction Report
Form 4
U-SWIRL, INC.SWRL
CARTWRIGHT TERRY A
VP Restaurant Development
Transactions
- Other
Common Stock
2011-09-07+5,000→ 120,000 total(indirect: By Gold Key Management Corp.)
Holdings
- 97,500
Common Stock
- 500
Class A Warrant (Right to Buy)
Exercise: $5.10From: 2008-04-18Exp: 2013-03-19→ Common Stock (500 underlying) - 12,500
Class C Warrant (Right to Buy)
Exercise: $0.60Exp: 2015-10-13→ Common Stock (12,500 underlying) - 175,000
Options (Right to Buy)
Exercise: $0.42Exp: 2016-05-16→ Common Stock (175,000 underlying) - 31,250
Options (Right to Buy)
Exercise: $4.40Exp: 2012-06-30→ Common Stock (31,250 underlying) - 1,000
Class B Warrant (Right to Buy)
Exercise: $10.20From: 2008-04-18Exp: 2013-03-19→ Common Stock (1,000 underlying)
Footnotes (4)
- [F1]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.
- [F2]All of the options vested as of March 1, 2009.
- [F3]Options were granted as compensation. 50% of options vest on 5/16/2012 and the remaining 50% of options vest on 5/16/2013.
- [F4]Shares granted as compensation.
Documents
Issuer
U-SWIRL, INC.
CIK 0001355304
Entity typeother
Related Parties
1- filerCIK 0001429549
Filing Metadata
- Form type
- 4
- Filed
- Sep 6, 8:00 PM ET
- Accepted
- Sep 7, 3:14 PM ET
- Size
- 12.0 KB