NEW LEAF BRANDS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows, 21 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-14: Reporting owner RUSSELL NEIL B; Form 4; Security Class I Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2009-12-14: Reporting owner RUSSELL NEIL B; Form 4; Security Class I Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2009-12-11: Reporting owner Ricketts R Scott; Form 4; Security Class J Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2009-11-30: Reporting owner Tsiang David T R; Form 4/A; Security Series I Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-14 | RUSSELL NEIL B Director | 4 | Class I Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,000 116,667 owned after | $0.60 exercise price | 2009-12-17 | |
| 2009-12-14 | RUSSELL NEIL B Director | 4 | Class I Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,500 75,000 owned after | $0.60 exercise price | 2009-12-17 | |
| 2009-12-11 | Ricketts R Scott Director | 4 | Class J Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −10,000 30,000 owned after | $0.40 exercise price | 2009-12-17 | |
| 2009-11-30 | Tsiang David T R Director, Officer (Chief Financial Officer) | 4/A | Series I Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −0 225,834 owned after | $0.60 exercise price | 2010-04-13 | |
| 2009-11-30 | Tsiang David T R Director, Officer (Chief Financial Officer) | 4/A | Series I Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,500 167,500 owned after | $0.60 exercise price | 2010-04-13 | |
| 2009-11-30 | Tsiang David T R Director | 4 | Series I Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,500 193,384 owned after | $0.60 exercise price | 2009-12-18 | |
| 2009-11-25 | TAWES ORRIE LEE Director, 10% Owner | 4 | Class I Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,667 843,334 owned after | $0.80 exercise price | 2009-12-17 | |
| 2009-11-25 | TAWES ORRIE LEE Director, 10% Owner | 4 | Class I Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −50,000 10,000 owned after | $0.60 exercise price | 2009-12-17 | |
| 2009-08-31 | TAWES ORRIE LEE Director, 10% Owner | 4 | Class I Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,667 898,901 owned after | $0.80 exercise price | 2009-12-17 | |
| 2009-08-31 | RUSSELL NEIL B Director | 4 | Class I Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 166,667 owned after | $0.60 exercise price | 2009-12-17 | |
| 2008-01-18 | Tsiang David T R Director | 4 | Series I Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $0.80 exercise price | 2008-01-23 | |
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Convertible Preferred Stock Derivative · Direct | Holding | $0.04 exercise price | 2007-09-17 | ||
| 2007-06-19 holding as of filing | Tsiang David T R Director | 3 | Series I Preferred Stock Derivative · Direct | Holding | $0.04 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | Tsiang David T R Director | 3 | Series I Preferred Stock Derivative · Direct | Holding | $0.04 exercise price | 2007-06-19 | ||
| 2007-06-18 holding as of filing | RUSSELL NEIL B Director | 3 | Series I Preferred Stock Derivative · Indirect · Dorthy F. Russell | Holding | $0.04 exercise price | 2007-06-18 | ||
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Preferred F Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $0.75 exercise price | 2012-03-13 | |
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Preferred H Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $0.75 exercise price | 2012-03-13 | |
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5 | Preferred F * Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $0.75 exercise price | 2012-03-08 | |
| 2007-05-01 | TAWES ORRIE LEE Director, 10% Owner | 5 | Preferred H Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +0 1,721,992 owned after | $0.75 exercise price | 2012-03-08 | |
| 2005-12-16 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Preferred Stock* Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +387,018 620,992 owned after | $0.80 exercise price | 2012-03-13 | |
| 2005-12-16 | TAWES ORRIE LEE Director, 10% Owner | 5 | Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +387,018 620,992 owned after | $0.80 | 2012-03-08 |