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ASSURED PHARMACY, INC. 4

Accession 0001140361-14-033105

CIK 0001100592operating
View on SEC.govCompany Profile

Filed

Aug 14, 8:00 PM ET

Accepted

Aug 15, 3:33 PM ET

Size

26.2 KB

Accession

0001140361-14-033105

Insider Transaction Report

Form 4
Period: 2013-11-19
ASSURED PHARMACY, INC.APHY
Brooks Jack E
10% Owner
Transactions
  • Purchase

    Series D Preferred Stock

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (2,000,000 underlying)
  • Other

    Common Stock

    2014-07-17+480,760→ 1,346,026 total(indirect: By Pinewood Trading Fund, LP)
  • Other

    Series D Preferred Stock

    2014-07-17+800→ 1,800 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (1,600,000 underlying)
  • Purchase

    Series A Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
  • Purchase

    Series B Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
Holdings

  • Series B Preferred Stock

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90→ Common Stock (667,200 underlying)
    667,200

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2016-11-30→ Common Stock (80,640 underlying)
    80,640

  • 16% Convertible Debentures

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2014-05-30→ Common Stock (56,000 underlying)
    56,000

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2013-02-05Exp: 2016-02-05→ Common Stock (769,230 underlying)
    769,230

  • Common Stock

    65,000

  • Common Stock

    (indirect: By IRA)
    8,987
Sagewood, LLC
10% Owner
Transactions
  • Other

    Common Stock

    2014-07-17+480,760→ 1,346,026 total(indirect: By Pinewood Trading Fund, LP)
  • Purchase

    Series D Preferred Stock

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (2,000,000 underlying)
  • Other

    Series D Preferred Stock

    2014-07-17+800→ 1,800 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (1,600,000 underlying)
  • Purchase

    Series B Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
  • Purchase

    Series A Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
Holdings

  • Common Stock

    65,000

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2016-11-30→ Common Stock (80,640 underlying)
    80,640

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2013-02-05Exp: 2016-02-05→ Common Stock (769,230 underlying)
    769,230

  • Common Stock

    (indirect: By IRA)
    8,987

  • Series B Preferred Stock

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90→ Common Stock (667,200 underlying)
    667,200

  • 16% Convertible Debentures

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2014-05-30→ Common Stock (56,000 underlying)
    56,000
Pinewood Trading Fund, LP
10% Owner
Transactions
  • Purchase

    Series A Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
  • Purchase

    Series B Common Stock Warrants

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50From: 2013-12-03Exp: 2018-12-03→ Common Stock (2,000,000 underlying)
  • Other

    Common Stock

    2014-07-17+480,760→ 1,346,026 total(indirect: By Pinewood Trading Fund, LP)
  • Purchase

    Series D Preferred Stock

    2013-11-19+1,000→ 1,000 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (2,000,000 underlying)
  • Other

    Series D Preferred Stock

    2014-07-17+800→ 1,800 total(indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.50→ Common Stock (1,600,000 underlying)
Holdings

  • Common Stock

    65,000

  • Common Stock

    (indirect: By IRA)
    8,987

  • Series B Preferred Stock

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90→ Common Stock (667,200 underlying)
    667,200

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2016-11-30→ Common Stock (80,640 underlying)
    80,640

  • 16% Convertible Debentures

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2011-11-30Exp: 2014-05-30→ Common Stock (56,000 underlying)
    56,000

  • Common Stock Warrants

    (indirect: By Pinewood Trading Fund, LP)
    Exercise: $0.90From: 2013-02-05Exp: 2016-02-05→ Common Stock (769,230 underlying)
    769,230
Footnotes (8)
  • [F1]These shares were issued in satisfaction of a "make-whole" provision in a securities purchase agreement. See footnote 2.
  • [F2]The reported securities are included within Units acquired in a private placement pursuant to a securities purchase agreement, for an aggregate purchase price of $500,000 for the Units. The Units consist of shares of Common Stock and warrants exercisable for shares of Common Stock.
  • [F3]The reported securities are owned directly by Pinewood Trading Fund, L.P., and indirectly by Sagewood, LLC, as General Partner of Pinewood Trading Fund, L.P., and Jack E. Brooks, as Manager of Sagewood, LLC. Sagewood, LLC and Jack E. Brooks disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein.
  • [F4]The reported securities are owned directly and indirectly by Jack E. Brooks.
  • [F5]The shares were acquired as a result of the resetting of the conversion price of the securities previously reported, resulting from the triggering of the anti-dilution adjustments contained in the securities.
  • [F6]Series B Preferred Stock and Series D Preferred Stock are convertible at any time at the reporting person's election, and have no expiration date.
  • [F7]The reported securities were acquired in a private placement pursuant to a securities purchase agreement, for an aggregate purchase price of $1,000,000.
  • [F8]These shares were issued in satisfaction of a "milestone adjustment" provision of a securities purchase agreement. See foonote 7.

Documents

1 file

Issuer

ASSURED PHARMACY, INC.

CIK 0001100592

→
Entity typeoperating
IncorporatedNV

Related Parties

1
  • filerCIK 0001100592

Filing Metadata

Form type
4
Filed
Aug 14, 8:00 PM ET
Accepted
Aug 15, 3:33 PM ET
Size
26.2 KB
View on SEC.gov