Filing Details
- Accession Number:
- 0000921895-13-002130
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-05 15:24:36
- Reporting Period:
- 2013-06-13
- Filing Date:
- 2013-11-05
- Accepted Time:
- 2013-11-05 15:24:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1045942 | Securealert Inc. | SCRA | Communications Equipment, Nec (3669) | 870543981 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1559275 | Ltd Asia Sapinda | Rooms 803-4, 8Th Floor Hang Seng Bank Building, 200 Hennessy Rd Wanchai, Hong Kong K3 00000 | No | No | Yes | No | |
1586481 | Lars Windhorst | C/O Sapinda Asia Ltd, Rms 803-4, 8Th Flr Hang Seng Wanchai Bldg, 200 Hennesy Road Wanchai K3 999077 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-06-13 | 556,648 | $7.50 | 1,184,899 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-09-30 | 3,905,917 | $4.50 | 5,090,816 | No | 4 | C | Direct | |
Common Stock | Disposition | 2013-10-29 | 628,251 | $19.00 | 4,462,565 | No | 4 | S | Direct | |
Common Stock | Disposition | 2013-10-30 | 556,648 | $7.50 | 3,905,917 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | C | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Convertible Loan | Disposition | 2013-09-30 | 0 | $0.00 | 3,905,917 | $4.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2013-03-01 | 2014-06-17 | No | 4 | C | Direct |
Footnotes
- This Form 4 is filed jointly by Sapinda Asia Limited ("Sapinda Asia") and Lars Windhorst (collectively, the "Reporting Persons"). As the sole shareholder of Sapinda Asia, Mr. Windhorst may be deemended to beneficially own the Common Stock beneficially owned by Sapinda Asia. Mr. Windhorst disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
- 200-for-1 reverse stock split of the Common Stock took effect on March 25, 2013.
- Mr. Windhorst directly owns the 556,648 shares of Common Stock acquired on June 13, 2013.
- On September 30, 2013, pursuant to the Loan and Security Agreement between Sapinda Asia and the Issuer, Sapinda Asia converted the entire principal of $16,640,000 and the accrued and unpaid interest under the loan into 3,905,917 shares of Common Stock at a post-reverse stock split rate of $4.50 per share.
- Mr. Windhorst directly owned the 556,648 shares of Common Stock disposed of on October 30, 2013.