CARTWRIGHT HENRY E 4
4 · U-SWIRL, INC. · Filed Jan 16, 2013
Insider Transaction Report
Form 4
U-SWIRL, INC.SWRL
CARTWRIGHT HENRY E
DirectorPresident & CEO
Transactions
- Award
Restricted Stock
2013-01-14+253,333→ 457,333 total
Holdings
- 54,000
Options (Right to Buy)
Exercise: $0.28Exp: 2016-11-17→ Common Stock (54,000 underlying) - 175,000
Options (Right to Buy)
Exercise: $0.42Exp: 2016-05-16→ Common Stock (175,000 underlying) - 5,000(indirect: By Spouse)
Options (Right to Buy)
Exercise: $0.28Exp: 2016-11-17→ Common Stock (5,000 underlying)
Footnotes (4)
- [F1]Options granted as compensation. 50% of the options vest on 5/16/2012 with the remaining 50% vesting on 5/16/2013.
- [F2]Options granted as compensation. 27,000 options vest on 11/17/12 with the remaining 27,000 options vesting on 11/17/13.
- [F3]Options granted to Mr. Cartwright's spouse as compensation. 2,500 options vest on 11/17/12 with the remaining 2,500 options vesting on 11/17/13.
- [F4]Restricted shares were issued as compensation. Shares are subject to forfeiture and vest at the rate of 20% per year beginning 1/14/2014.