UNIVERSAL FOOD & BEVERAGE COMPNY 4

Accession 0001144204-08-021716

CIK 0001097805operating

View on SEC.gov Company Profile

Filed

Apr 10, 8:00 PM ET

Accepted

Apr 11, 9:45 AM ET

Size

33.8 KB

Accession

0001144204-08-021716

Insider Transaction Report

Form 4

Period: 2007-05-04

UNIVERSAL FOOD & BEVERAGE COMPNYUFBV.PK

Vicis Capital, LLC

10% Owner

Transactions

Purchase
Common Stock, $0.0001, par value per share
2007-06-11$0.08/sh+150,000$12,000→ 4,982,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-12$0.08/sh+50,000$4,000→ 5,032,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-18$0.27/sh+200,000$54,000→ 4,307,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-29$0.24/sh+5,000$1,200→ 4,312,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-31$0.27/sh+400,000$108,000→ 4,712,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-07$0.07/sh+120,000$8,400→ 4,832,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-10$0.28/sh+45,000$12,600→ 3,977,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-11$0.28/sh+30,000$8,400→ 4,007,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-15$0.29/sh+100,000$29,000→ 4,107,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-04$0.32/sh+81,852$26,193→ 3,889,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-07$0.35/sh+43,000$15,050→ 3,932,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-07-10$0.04/sh+100,000$4,000→ 5,932,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-22$0.06/sh+200,000$12,000→ 5,232,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-29$0.07/sh+600,000$42,000→ 5,832,265 total(indirect: By Vicis Capital Master Fund)

Holdings

Senior Secured Convertible Note
(indirect: By Vicis Capital Master Fund)
Exercise: $0.03Exp: 2007-11-30→ Common Stock (23,304,449 underlying)
23,304,449
Series SN Common Stock Purchase Warrant
(indirect: By Vicis Capital Master Fund)
Exercise: $0.01Exp: 2011-06-22→ Common Stock (5,309,313 underlying)
5,309,313
Series WCN Common Stock Purchase Warrant
(indirect: By Vicis Capital Master Fund)
Exercise: $0.01Exp: 2011-11-30→ Common Stock (66,261,221 underlying)
66,261,221
Senior Secured Convertible Note
(indirect: By Vicis Capital Master Fund)
Exercise: $0.10Exp: 2007-11-30→ Common Stock (10,000,000 underlying)
10,000,000

Vicis Capital Master Fund

10% Owner

Transactions

Purchase
Common Stock, $0.0001, par value per share
2007-05-15$0.29/sh+100,000$29,000→ 4,107,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-12$0.08/sh+50,000$4,000→ 5,032,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-18$0.27/sh+200,000$54,000→ 4,307,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-31$0.27/sh+400,000$108,000→ 4,712,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-07$0.07/sh+120,000$8,400→ 4,832,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-07-10$0.04/sh+100,000$4,000→ 5,932,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-22$0.06/sh+200,000$12,000→ 5,232,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-29$0.07/sh+600,000$42,000→ 5,832,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-06-11$0.08/sh+150,000$12,000→ 4,982,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-29$0.24/sh+5,000$1,200→ 4,312,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-04$0.32/sh+81,852$26,193→ 3,889,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-07$0.35/sh+43,000$15,050→ 3,932,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-10$0.28/sh+45,000$12,600→ 3,977,265 total(indirect: By Vicis Capital Master Fund)
Purchase
Common Stock, $0.0001, par value per share
2007-05-11$0.28/sh+30,000$8,400→ 4,007,265 total(indirect: By Vicis Capital Master Fund)

Holdings

Series WCN Common Stock Purchase Warrant
(indirect: By Vicis Capital Master Fund)
Exercise: $0.01Exp: 2011-11-30→ Common Stock (66,261,221 underlying)
66,261,221
Series SN Common Stock Purchase Warrant
(indirect: By Vicis Capital Master Fund)
Exercise: $0.01Exp: 2011-06-22→ Common Stock (5,309,313 underlying)
5,309,313
Senior Secured Convertible Note
(indirect: By Vicis Capital Master Fund)
Exercise: $0.03Exp: 2007-11-30→ Common Stock (23,304,449 underlying)
23,304,449
Senior Secured Convertible Note
(indirect: By Vicis Capital Master Fund)
Exercise: $0.10Exp: 2007-11-30→ Common Stock (10,000,000 underlying)
10,000,000

Footnotes (2)

[F1]Represents the indirect holdings of Vicis Capital LLC. All of the foregoing represents securities held directly by Vicis Capital Master Fund. Vicis Capital LLC acts as investment advisor to Vicis Capital Master Fund and therefore has voting and dispositive power over all the foregoing shares. For the purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Vicis Capital LLC may be deemed to be the beneficial owner of, but hereby disclaims such beneficial ownership of, the foregoing shares.
[F2]Immediately.

Documents

1 file

4
v110260_ex.xmlPrimary

Issuer

UNIVERSAL FOOD & BEVERAGE COMPNY

CIK 0001097805

→

Entity typeoperating

IncorporatedNV

Related Parties

filerCIK 0001097805

Filing Metadata

Form type: 4
Filed: Apr 10, 8:00 PM ET
Accepted: Apr 11, 9:45 AM ET
Size: 33.8 KB

View on SEC.gov