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U-SWIRL, INC.·4

Jan 16, 2:34 PM ET

CONTE ULDERICO 4

4 · U-SWIRL, INC. · Filed Jan 16, 2013

Insider Transaction Report

Form 4
Period: 2014-01-14
U-SWIRL, INC.SWRL
CONTE ULDERICO
VP Franchise Development
Transactions
  • Award

    Restricted Stock

    2013-01-14+253,333→ 525,333 total
Holdings

  • Options (Right to Buy)

    Exercise: $0.42Exp: 2016-05-16→ Common Stock (175,000 underlying)
    175,000

  • Options (Right to Buy)

    Exercise: $0.28Exp: 2016-11-17→ Common Stock (59,000 underlying)
    59,000

  • Common Stock

    (indirect: By Spouse)
    25,000

  • Warrants Class B (Right to Buy)

    Exercise: $10.00From: 2008-04-18Exp: 2013-03-19→ Common Stock (5,000 underlying)
    5,000
Footnotes (3)
  • [F1]Options were granted as compensation. 50% of the options vest on 5/16/12 with the remaining 50% vesting on 5/16/13.
  • [F2]Options granted as compensation. 29,500 options vest on 11/17/2012 with the remaining 29,500 options vesting on 11/17/2013.
  • [F3]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

1 file
  • 4
    doc1.xmlPrimary

    FORM 4