Home/Filings/5/0001209191-12-012212

5//SEC Filing

von Waaden Dennis C 5

Accession 0001209191-12-012212

CIK 0000867687other

View on SEC.gov Company Profile

Filed

Feb 21, 7:00 PM ET

Accepted

Feb 22, 6:12 PM ET

Size

54.7 KB

Accession

0001209191-12-012212

Insider Transaction Report

Form 5

Period: 2011-12-31

AMERICA WEST RESOURCES, INC.AWSR.0B

von Waaden Dennis C

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)

von Waaden Sally A.

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)

von Waaden D Mark

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)

von Waaden Matthew D

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)

von Waaden 2004 Revocable Trust

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)

Denly ACI Mgt., LLC

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)

Denly ACI Partners, Ltd.

10% Owner

Transactions

Other
Common Stock, par value $.0001
2011-09-02+600,000→ 20,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-09+350,000→ 20,724,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-22+300,000→ 21,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-29+180,000→ 21,854,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-13+650,000→ 22,804,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-07+300,000→ 22,154,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-22+150,000→ 24,339,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-08+200,000→ 24,614,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-17+150,000→ 24,189,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-25+400,000→ 19,074,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-29+400,000→ 19,474,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-09-15+650,000→ 21,374,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-27+350,000→ 23,389,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-17+420,000→ 18,674,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-08-31+300,000→ 19,774,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-10-20+235,000→ 23,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-03+400,000→ 23,789,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-10+250,000→ 24,039,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-11-29+75,000→ 24,414,161 total(indirect: By LLC)
Other
Common Stock, par value $.0001
2011-12-21+350,000→ 24,964,161 total(indirect: By LLC)

Footnotes (21)

[F1]The securities reported on this Form 5 are owned directly by Denly Utah Coal, LLC, a Texas limited liability company (the "Company"). The two members of the Company are Denly ACI Partners, Ltd., a Texas limited partnership, which holds a 66 2/3% membership interest in the Company, and The von Waaden 2004 Revocable Trust, which owns a 33 1/3% membership interest in the Company. The general partner of Denly ACI Partners, Ltd. is Denly ACI Mgt., LLC, which is owned by Dennis C. von Waaden and Sally A. von Waaden. The co-trustees and co-beneficiaries of The von Waaden 2004 Revocable Trust are Dennis C. von Waaden and Sally A. von Waaden. Additionally, Dennis C. von Waaden, Sally A. von Waaden, D. Mark von Waaden and Matthew D. von Waaden are each an officer of and member of the board of managers of the Company. Each of the reporting persons may have a pecuniary interest in only a portion of such securities and disclaims beneficial ownership except to the extent thereof.
[F10]As of September 29, 2011, the Company loaned $180,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "September 29, 2011 Note"). Under the terms of the September 29, 2011 Note, the Issuer had an obligation to issue 180,000 shares of common stock to the Company.
[F11]As of October 7, 2011, the Company loaned $300,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "October 7, 2011 Note"). Under the terms of the October 7, 2011 Note, the Issuer had an obligation to issue 300,000 shares of common stock to the Company.
[F12]As of October 13, 2011, the Company loaned $650,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "October 13, 2011 Note"). Under the terms of the October 13, 2011 Note, the Issuer had an obligation to issue 650,000 shares of common stock to the Company.
[F13]As of October 20, 2011, the Company loaned $235,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "October 20, 2011 Note"). Under the terms of the October 20, 2011 Note, the Issuer had an obligation to issue 235,000 shares of common stock to the Company.
[F14]As of October 27, 2011, the Company loaned $350,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "October 27, 2011 Note"). Under the terms of the October 27, 2011 Note, the Issuer had an obligation to issue 350,000 shares of common stock to the Company.
[F15]As of November 3, 2011, the Company loaned $400,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "November 3, 2011 Note"). Under the terms of the November 3, 2011 Note, the Issuer had an obligation to issue 400,000 shares of common stock to the Company.
[F16]As of November 10, 2011, the Company loaned $250,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "November 10, 2011 Note"). Under the terms of the November 10, 2011 Note, the Issuer had an obligation to issue 250,000 shares of common stock to the Company.
[F17]As of November 17, 2011, the Company loaned $150,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "November 17, 2011 Note"). Under the terms of the November 17, 2011 Note, the Issuer had an obligation to issue 150,000 shares of common stock to the Company.
[F18]As of November 22, 2011, the Company loaned $150,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "November 22, 2011 Note"). Under the terms of the November 22, 2011 Note, the Issuer had an obligation to issue 150,000 shares of common stock to the Company.
[F19]As of November 29, 2011, the Company loaned $75,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "November 29, 2011 Note"). Under the terms of the November 29, 2011 Note, the Issuer had an obligation to issue 75,000 shares of common stock to the Company.
[F2]As of August 17, 2011, the Company loaned $420,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "August 17, 2011 Note"). Under the terms of the August 17, 2011 Note, the Issuer had an obligation to issue 420,000 shares of common stock to the Company.
[F20]As of December 8, 2011, the Company loaned $200,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "December 8, 2011 Note"). Under the terms of the December 8, 2011 Note, the Issuer had an obligation to issue 200,000 shares of common stock to the Company.
[F21]As of December 21, 2011, the Company loaned $350,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "December 21, 2011 Note"). Under the terms of the December 21, 2011 Note, the Issuer had an obligation to issue 350,000 shares of common stock to the Company.
[F3]As of August 25, 2011,the Company loaned $400,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "August 25, 2011 Note"). Under the terms of the August 25, 2011 Note, the Issuer had an obligation to issue 400,000 shares of common stock to the Company.
[F4]As of August 29, 2011, the Company loaned $400,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "August 29, 2011 Note"). Under the terms of the August 29, 2011 Note, the Issuer had an obligation to issue 400,000 shares of common stock to the Company.
[F5]As of August 31, 2011, the Company loaned $300,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "August 31, 2011 Note"). Under the terms of the August 31, 2011 Note, the Issuer had an obligation to issue 300,000 shares of common stock to the Company.
[F6]As of September 2, 2011, the Company loaned $600,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "September 2, 2011 Note"). Under the terms of the September 2, 2011 Note, the Issuer had an obligation to issue 600,000 shares of common stock to the Company.
[F7]As of September 9, 2011, the Company loaned $350,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "September 9, 2011 Note"). Under the terms of the September 9, 2011 Note, the Issuer had an obligation to issue 350,000 shares of common stock to the Company.
[F8]As of September 15, 2011, the Company loaned $650,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "September 15, 2011 Note"). Under the terms of the September 15, 2011 Note, the Issuer had an obligation to issue 650,000 shares of common stock to the Company.
[F9]As of September 22, 2011, the Company loaned $300,000 to the Issuer, as a result of which the Issuer executed a promissory note for the benefit of the Company (the "September 22, 2011 Note"). Under the terms of the September 22, 2011 Note, the Issuer had an obligation to issue 300,000 shares of common stock to the Company.

Documents

1 file

5
c27437_5x0.xmlPrimary
MAIN DOCUMENT DESCRIPTION

Issuer

AMERICA WEST RESOURCES, INC.

CIK 0000867687

→

Entity typeother

Related Parties

filerCIK 0001467010

Filing Metadata

Form type: 5
Filed: Feb 21, 7:00 PM ET
Accepted: Feb 22, 6:12 PM ET
Size: 54.7 KB

View on SEC.gov