RUSSELL NEIL B 4

4 · New Leaf Brands, Inc. · Filed Dec 17, 2009

Form 4

Period: 2009-08-31

Director

Transactions

Other
Common Stock
2009-12-16+198,152→ 205,852 total
Award
Class I Convertible Preferred Stock
2009-08-31+3,000→ 166,667 total
Exercise: $0.60From: 2007-03-27→ Common Stock (50,000 underlying)
Other
Class I Convertible Preferred Stock
2009-12-14−3,000→ 116,667 total
Exercise: $0.60From: 2007-03-27→ Common Stock (50,000 underlying)
Other
Class I Convertible Preferred Stock
2009-12-14−2,500→ 75,000 total
Exercise: $0.60From: 2007-03-27→ Common Stock (41,667 underlying)
Other
Common Stock
2009-12-16+7,700→ 7,700 total
Other
Warrants
2009-12-14−6,250→ 116,667 total
Exercise: $0.40From: 2007-03-30Exp: 2012-03-30→ Common Stock (6,250 underlying)

Footnotes (5)

[F1]Pursuant to an Agreement with the Issuer, Mr. Russell received 11,157 shares of common stock after exchanging warrants to purchase 13,750 shares of common stock.
[F2]Pursuant to an Agreement with the Issuer, Mr. Russell received these shares of common stock after exchanging 5,500 shares of his Class I Preferred Stock along with $4,446 of accrued dividends.
[F3]Pursuant to an Agreement with the Issuer, Mr. Russell exchanged these warrants into 11,157 shares of common stock.
[F4]N/A
[F5]Pursuant to an Agreement with the Issuer, Mr. Russell exchanged the Class I Preferred Stock with $4,446 of accrued dividends into 198,152 shares of common stock.

Documents

1 file