NEW LEAF BRANDS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 93 rows, 93 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 Warrant; Transaction Holding.
- 2011-01-21: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2011-01-21: Reporting owner TAWES ORRIE LEE; Form 5/A; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2011-01-21: Reporting owner TAWES ORRIE LEE; Form 5; Security Warrants; 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 | Warrant Derivative · Direct | Holding | 8,214,262 owned after | $0.15 exercise price | 2013-01-07 | |
| 2011-01-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,803,922 8,496,989 owned after | $0.15 exercise price | 2012-03-16 | |
| 2011-01-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,803,922 8,496,989 owned after | $0.15 exercise price | 2012-03-13 | |
| 2011-01-21 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants 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/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +272,727 282,727 owned after | $0.25 exercise price | 2012-03-13 | |
| 2010-09-21 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +272,727 282,727 owned after | $0.00 | 2012-03-08 | |
| 2010-04-01 | Tsiang David T R Officer (CFO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −40,000 665,202 owned after | $0.25 exercise price | 2010-04-13 | |
| 2010-02-08 | Tsiang David T R Officer (CFO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +11,818 705,202 owned after | $0.55 exercise price | 2010-04-13 | |
| 2010-01-01 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −350,000 282,727 owned after | $0.55 exercise price | 2012-03-13 | |
| 2010-01-01 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants * Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −350,000 282,727 owned after | $0.00 | 2012-03-08 | |
| 2009-12-21 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants 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 | 2012-03-19 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,016,083 260,000 owned after | $0.00 | 2012-03-19 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,016,083 260,000 owned after | $0.00 | 2012-03-14 | |
| 2009-12-15 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,016,083 260,000 owned after | $0.00 | 2012-03-08 | |
| 2009-12-14 | RUSSELL NEIL B Director | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −6,250 116,667 owned after | $0.40 exercise price | 2009-12-17 | |
| 2009-12-11 | Ricketts R Scott Director | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −28,736 280,000 owned after | $0.87 exercise price | 2009-12-17 | |
| 2009-11-30 | Tsiang David T R Director, Officer (Chief Financial Officer) | 4/A | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,750 211,250 owned after | $0.40 exercise price | 2010-04-13 | |
| 2009-11-30 | Tsiang David T R Director | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,750 251,718 owned after | $0.40 exercise price | 2009-12-18 | |
| 2009-11-25 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −350,000 10,000 owned after | $0.25 exercise price | 2010-04-13 | |
| 2009-11-25 | Tsiang David T R Officer (CFO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +150,000 693,384 owned after | $0.25 exercise price | 2010-04-13 | |
| 2009-11-25 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,167 843,334 owned after | $0.40 exercise price | 2009-12-17 | |
| 2009-11-25 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 360,000 owned after | $0.25 exercise price | 2009-12-17 | |
| 2009-08-31 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,167 847,501 owned after | $0.40 exercise price | 2009-12-17 | |
| 2009-03-26 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −175,000 843,334 owned after | $0.85 exercise price | 2009-12-17 | |
| 2009-03-26 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 2,122,760 owned after | $0.85 exercise price | 2009-04-07 | |
| 2009-03-20 | Skae Eric Anthony Director, Officer (See Remarks) | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 2,366,105 owned after | $0.85 exercise price | 2009-03-24 | |
| 2009-03-17 | Skae Eric Anthony Director, Officer (CEO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −100,000 2,264,734 owned after | $0.85 exercise price | 2009-12-17 | |
| 2009-03-06 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 260,000 owned after | $0.80 exercise price | 2012-03-19 | |
| 2009-03-06 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 260,000 owned after | $0.80 exercise price | 2012-03-14 | |
| 2009-03-06 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 260,000 owned after | $0.80 exercise price | 2012-03-08 | |
| 2009-02-11 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −75,000 1,018,334 owned after | $0.85 exercise price | 2009-12-17 | |
| 2009-02-11 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 1,947,760 owned after | $0.85 exercise price | 2009-04-07 | |
| 2009-02-05 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 260,000 owned after | $0.80 exercise price | 2012-03-19 | |
| 2009-02-05 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1 260,000 owned after | $0.80 exercise price | 2012-03-14 | |
| 2009-02-05 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 260,000 owned after | $0.80 exercise price | 2012-03-08 | |
| 2009-01-07 holding as of filing | GCE Property Holdings, Inc. 10% Owner | 3 | Warrant to Purchase Common Stock (right to buy) Derivative · Direct | Holding | $0.85 exercise price | 2009-01-07 | ||
| 2008-12-19 | Skae Eric Anthony Director, Officer (See Remarks), 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +145,000 2,229,343 owned after | $0.85 exercise price | 2008-12-22 | |
| 2008-11-04 | Ricketts R Scott Director | 4 | Warrant (to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,736 28,736 owned after | $0.87 exercise price | 2008-12-05 | |
| 2008-10-27 holding as of filing | Skae Eric Anthony | Skae Beverage International, LLC Director, Officer (See Remarks), 10% Owner | 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $0.85 exercise price | 2008-10-27 | ||
| 2008-10-23 | Skae Eric Anthony Director, Officer (CEO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −150,000 2,509,734 owned after | $0.85 exercise price | 2009-12-17 | |
| 2008-10-23 | Skae Eric Anthony Director, Officer (CEO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −145,000 2,364,734 owned after | $0.85 exercise price | 2009-12-17 | |
| 2008-09-05 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-13 | |
| 2008-09-05 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-08 | |
| 2008-09-05 | Tsiang David T R Officer (CFO) | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +25,884 543,384 owned after | $0.85 exercise price | 2010-04-13 | |
| 2008-09-05 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −150,000 1,093,334 owned after | $0.85 exercise price | 2009-12-17 | |
| 2008-09-05 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 1,843,348 owned after | $0.85 exercise price | 2008-10-27 | |
| 2008-07-14 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 236,267 owned after | $0.80 exercise price | 2012-03-13 | |
| 2008-07-14 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-08 | |
| 2008-07-14 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −312,500 1,243,334 owned after | $0.80 exercise price | 2009-12-17 | |
| 2008-07-14 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +312,500 1,693,348 owned after | $0.80 exercise price | 2008-10-27 | |
| 2008-04-04 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-13 | |
| 2008-04-04 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-08 | |
| 2008-04-04 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −78,125 1,555,834 owned after | $0.80 exercise price | 2009-12-17 | |
| 2008-04-04 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78,125 1,380,848 owned after | $0.80 exercise price | 2008-10-27 | |
| 2008-02-19 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −50,000 1,633,959 owned after | $0.79 exercise price | 2009-12-17 | |
| 2008-02-19 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 1,302,723 owned after | $0.79 exercise price | 2008-10-27 | |
| 2008-02-08 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-13 | |
| 2008-02-08 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 2,362,617 owned after | $0.80 exercise price | 2012-03-08 | |
| 2008-02-04 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −50,000 1,683,959 owned after | $0.80 exercise price | 2009-12-17 | |
| 2008-02-04 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 1,252,723 owned after | $0.80 exercise price | 2008-10-27 | |
| 2007-09-17 holding as of filing | Pinkowski Tom Officer (VP of Investment Banking) | 3 | Warrants Derivative · Direct | Holding | $0.05 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.05 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.02 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.04 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.08 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.12 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.02 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.02 exercise price | 2007-09-17 | ||
| 2007-09-17 holding as of filing | TAWES ORRIE LEE Director | 3 | Warrants Derivative · Direct | Holding | $0.04 exercise price | 2007-09-17 | ||
| 2007-07-26 holding as of filing | Tsiang David T R Director | 4 | Common Stock Warrants Derivative · Direct · (m) | Holding | 1,500,000 owned after | $0.02 exercise price | 2007-07-26 | |
| 2007-07-26 holding as of filing | Tsiang David T R Director | 4 | Common Stock Warrants Derivative · Indirect · (m) | Holding | 2,550,000 owned after | $0.02 exercise price | 2007-07-26 | |
| 2007-06-30 | Tsiang David T R Director | 4 | Common Stock Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 5,550,000 owned after | $0.04 exercise price | 2007-07-26 | |
| 2007-06-19 holding as of filing | Tsiang David T R Director | 3 | Common Stock Warrants Derivative · Direct | Holding | $0.02 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | Tsiang David T R Director | 3 | Common Stock Warrants Derivative · Direct | Holding | $0.02 exercise price | 2007-06-19 | ||
| 2007-06-18 holding as of filing | RUSSELL NEIL B Director | 3 | Common Stock Warrants Derivative · Indirect · Dorthy F. Russell | Holding | $0.02 exercise price | 2007-06-18 | ||
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 1,721,992 owned after | $0.80 exercise price | 2012-03-13 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 1,721,992 owned after | $0.80 exercise price | 2012-03-08 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −125,000 2,083,959 owned after | $0.40 exercise price | 2009-12-17 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −250,000 1,833,959 owned after | $0.40 exercise price | 2009-12-17 | |
| 2007-03-30 | TAWES ORRIE LEE Director, 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −100,000 1,733,959 owned after | $0.80 exercise price | 2009-12-17 | |
| 2007-03-30 | Tsiang David T R Director | 4 | Common Stock Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 5,650,000 owned after | $0.04 exercise price | 2007-09-18 | |
| 2005-12-16 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant* Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +122,724 620,992 owned after | $0.00 | 2012-03-13 | |
| 2005-12-16 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +122,724 620,992 owned after | $1.60 | 2012-03-08 | |
| 2005-03-28 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Excercise* Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +101,250 620,992 owned after | $1.60 exercise price | 2012-03-13 | |
| 2005-03-28 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Exercise Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +101,250 620,992 owned after | $0.01 | 2012-03-08 | |
| 2005-02-05 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant* Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,000 620,992 owned after | $1.60 exercise price | 2012-03-13 | |
| 2005-02-05 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,000 620,992 owned after | $1.60 | 2012-03-08 | |
| 2004-05-18 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +86,250 96,250 owned after | $0.00 | 2012-03-13 | |
| 2004-05-18 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +86,250 96,250 owned after | $0.00 | 2012-03-08 | |
| 2004-05-18 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +86,250 96,250 owned after | $0.01 | 2012-03-08 | |
| 2003-12-31 | TAWES ORRIE LEE Director, 10% Owner | 5/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $0.01 | 2012-03-13 | |
| 2001-09-13 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1 10,000 owned after | $0.01 | 2012-03-08 | |
| 2001-08-13 | TAWES ORRIE LEE Director, 10% Owner | 5 | Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1 10,000 owned after | $0.01 | 2012-03-08 |