NEW LEAF BRANDS, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows, 13 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-03-14: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Common Stock; Transaction Holding.
- 2012-03-14: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Common Stock; Transaction Holding.
- 2011-04-29: Reporting owner TAWES ORRIE LEE; Form 5; Security Warranst; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-12-21: Reporting owner TAWES ORRIE LEE; Form 5/A; Security War Exercise; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-03-14 holding as of filing | TAWES ORRIE LEE Director, 10% Owner | 5/A | Common Stock Derivative · Direct | Holding | 10,000 owned after | $4.84 exercise price | 2012-03-14 | |
| 2012-03-14 holding as of filing | TAWES ORRIE LEE Director, 10% Owner | 5/A | Common Stock Derivative · Direct | Holding | 10,000 owned after | $4.84 exercise price | 2012-03-14 | |
| 2011-04-29 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warranst 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 | |
| 2009-12-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | War Exercise Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,238,348 260,000 owned after | $0.00 | 2012-03-14 | |
| 2009-10-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv of Pfd 1 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,722,728 260,000 owned after | $0.00 | 2012-03-19 | |
| 2009-10-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. of Pfd.I Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,722,728 260,000 owned after | $0.00 | 2012-03-14 | |
| 2009-10-21 | TAWES ORRIE LEE Director, 10% Owner | 5 | War Exercise Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,238,348 260,000 owned after | $0.00 | 2012-03-08 | |
| 2009-10-21 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. of Pfd. I Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,722,223 260,000 owned after | $0.00 | 2012-03-08 | |
| 2007-07-26 holding as of filing | Tsiang David T R Director | 4 | Series I Pfd Stock Derivative · Direct · (m) | Holding | 1,250,000 owned after | $0.04 exercise price | 2007-07-26 | |
| 2007-07-26 holding as of filing | Tsiang David T R Director | 4 | Series I Pfd Stock Derivative · Indirect · (m) | Holding | 2,375,000 owned after | $0.04 exercise price | 2007-07-26 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Conv. Pfd. Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 1,721,992 owned after | $500,800.00 | 2012-03-13 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 5 | Conv. Pfd. Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 1,721,992 owned after | $500,800.00 | 2012-03-08 | |
| 2003-12-31 | TAWES ORRIE LEE Director, 10% Owner | 5 | Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $0.01 | 2012-03-08 |