NEW LEAF BRANDS, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows, 38 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-01-07: Reporting owner TAWES ORRIE LEE; Form 5; Security Conv. note; Transaction Holding.
- 2013-01-07: Reporting owner TAWES ORRIE LEE; Form 5; Security Conv. note; Transaction Holding.
- 2011-11-01: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Conv. Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2011-11-01: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Conv Note; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-01-07 holding as of filing | TAWES ORRIE LEE 10% Owner | 5 | Conv. note Derivative · Direct | Holding | 0 owned after | $0.05 exercise price | 2013-01-07 | |
| 2013-01-07 holding as of filing | TAWES ORRIE LEE 10% Owner | 5 | Conv. note Derivative · Direct | Holding | 0 owned after | $0.05 exercise price | 2013-01-07 | |
| 2011-11-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 8,496,989 owned after | $0.05 exercise price | 2012-03-16 | |
| 2011-11-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 8,224,262 owned after | $0.05 exercise price | 2012-03-13 | |
| 2011-09-30 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 8,496,989 owned after | $0.00 | 2012-03-08 | |
| 2011-08-24 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 8,496,989 owned after | $0.05 exercise price | 2012-03-16 | |
| 2011-08-24 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 8,496,989 owned after | $0.05 exercise price | 2012-03-13 | |
| 2011-04-29 | TAWES ORRIE LEE Director, 10% Owner | 5 | Note and Pfd Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 8,496,989 owned after | $0.00 | 2012-03-08 | |
| 2010-09-21 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 282,727 owned after | $0.00 | 2012-03-08 | |
| 2010-09-12 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 282,727 owned after | $0.25 exercise price | 2012-03-13 | |
| 2010-05-20 | TAWES ORRIE LEE Director, 10% Owner | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +456,229 466,229 owned after | $0.35 exercise price | 2010-05-24 | |
| 2010-05-20 | TAWES ORRIE LEE Director, 10% Owner | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +143,651 609,880 owned after | $0.35 exercise price | 2010-05-24 | |
| 2010-05-20 | TAWES ORRIE LEE Director, 10% Owner | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +857,143 1,467,023 owned after | $0.35 exercise price | 2010-05-24 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv of Note Pb1 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +9,623,728 260,000 owned after | $0.25 exercise price | 2012-03-19 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. of Note Pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +9,623,728 260,000 owned after | $0.25 exercise price | 2012-03-14 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. of Note pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +9,623,728 260,000 owned after | $0.25 exercise price | 2012-03-08 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv of Note Pb1 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,200,012 260,000 owned after | $0.25 exercise price | 2012-03-19 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv of Note Pb1 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +167,700 260,000 owned after | $0.25 exercise price | 2012-03-19 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. of Note Pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,200,012 260,000 owned after | $0.25 exercise price | 2012-03-14 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. of Note Pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +167,700 260,000 owned after | $0.25 exercise price | 2012-03-14 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. of Note pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,200,012 260,000 owned after | $0.25 exercise price | 2012-03-08 | |
| 2009-11-19 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. of Note pbl. Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +169,700 260,000 owned after | $0.25 exercise price | 2012-03-08 | |
| 2009-02-11 | TAWES ORRIE LEE Director, 10% Owner | 4 | 3 % Subordinated Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,412 1,872,760 owned after | $0.85 exercise price | 2009-04-07 | |
| 2009-01-07 holding as of filing | GCE Property Holdings, Inc. 10% Owner | 3 | 12% Subordinated Note Derivative · Direct | Holding | $0.85 exercise price | 2009-01-07 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | 8% Convertible Subordinated Promissory Note Derivative · Direct · (m) | Holding | no price filed | 2008-10-27 | ||
| 2008-09-09 | Skae Eric Anthony Director, Officer (CEO) | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | −714,009 1,550,725 owned after | $1.50 exercise price | 2009-12-17 | |
| 2008-09-09 | Skae Eric Anthony Director, Officer (CEO) | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | −240,709 1,310,016 owned after | $1.50 exercise price | 2009-12-17 | |
| 2008-09-09 | Skae Eric Anthony Director, Officer (CEO) | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,260,016 50,000 owned after | $1.50 exercise price | 2009-12-17 | |
| 2007-09-17 holding as of filing | Pinkowski Tom Officer (VP of Investment Banking) | 3 | Convertible Note Derivative · Direct | Holding | $0.05 exercise price | 2007-09-17 | ||
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Debt Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $528,500.00 | 2012-03-13 | |
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5 | Debt* Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $528,500.00 | 2012-03-08 |