4//SEC Filing
CARTWRIGHT TERRY A 4
Accession 0001140361-13-002236
CIK 0001355304other
Filed
Jan 15, 7:00 PM ET
Accepted
Jan 16, 2:33 PM ET
Size
12.1 KB
Accession
0001140361-13-002236
Insider Transaction Report
Form 4
U-SWIRL, INC.SWRL
CARTWRIGHT TERRY A
VP Restaurant Development
Transactions
- Award
Restricted Stock
2013-01-14+253,333→ 352,333 total
Holdings
- 59,000
Options (Right to Buy)
Exercise: $0.28Exp: 2016-11-17→ Common Stock (59,000 underlying) - 200,000(indirect: By Gold Key Management Corp.)
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) - 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]Options were granted as compensation. 50% of options vest on 5/16/2012 and the remaining 50% of options vest on 5/16/2013.
- [F3]Options granted as compensation. 29,500 options vest on 11/17/2012 with the remaining 29,500 options vesting on 11/17/2013.
- [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.
Documents
Issuer
U-SWIRL, INC.
CIK 0001355304
Entity typeother
Related Parties
1- filerCIK 0001429549
Filing Metadata
- Form type
- 4
- Filed
- Jan 15, 7:00 PM ET
- Accepted
- Jan 16, 2:33 PM ET
- Size
- 12.1 KB