Filing Details
- Accession Number:
- 0001144204-10-005165
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-03 12:00:00
- Reporting Period:
- 2010-02-01
- Filing Date:
- 2010-02-03
- Accepted Time:
- 2010-02-03 16:49:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1331301 | Smart Balance Inc. | SMBL | Food And Kindred Products (2000) | 202949397 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1268935 | R Michael Obrien | 6100 51St Street S St Petersburg FL 33715 | Yes | No | No | 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 | 2010-02-01 | 3,000 | $5.57 | 4,000 | No | 4 | P | Indirect | Held by Heather Yeatman Holmstrom Irrevocable Trust. |
| Common Stock | Disposition | 2010-02-02 | 3,000 | $5.49 | 1,000 | No | 4 | S | Indirect | Held by Heather Yeatman Holmstrom Irrevocable Trust. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by Heather Yeatman Holmstrom Irrevocable Trust. |
| No | 4 | S | Indirect | Held by Heather Yeatman Holmstrom Irrevocable Trust. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 27,396 | Indirect | Held by Aragon Trading Company, L.P. |
| Common Stock | 54,600 | Indirect | Held by Bayway Investment Fund. |
| Common Stock | 24,000 | Indirect | Held by Hawkeye Irrevocable Trust. |
| Common Stock | 23,600 | Indirect | Held by Jayhawk Irrevocable Trust. |
| Common Stock | 20,000 | Indirect | Held by Shorecrest Investment Fund. |
| Common Stock | 20,000 | Indirect | Held by Allick Irrevocable Trust. |
| Common Stock | 7,000 | Indirect | Held by Yeatman Grandchildren Irrevocable Trust. |
| Common Stock | 6,000 | Indirect | Held by John Brian Yeatman Irrevocable Trust. |
| Common Stock | 3,000 | Indirect | Held by Shorecrest Investment Fund. |
| Common Stock | 3,000 | Indirect | Held by Shannon Patrick O'Brien Trust. |
| Common Stock | 5,000 | Indirect | Held by Michael R. O'Brien Trust. |
| Common Stock | 5,000 | Indirect | Held by Michael R. and Dianne C. O'Brien Trust. |
| Common Stock | 5,000 | Indirect | Held by Megan E. O'Brien Trust UTMA. |
| Common Stock | 5,000 | Indirect | Held by Dianne C. O'Brien Trust. |
| Common Stock | 5,000 | Indirect | Held by Michael R. O'Brien Rollover IRA. |
| Common Stock | 39,878 | Direct |
Footnotes
- Mr. O'Brien disclaims beneficial ownership over these shares, except to the extent of his pecuniary interest therein.
- Mr. O'Brien has sole voting and investment power over these shares.
- Mr. O'Brien is the trustee of Hawkeye Irrevocable Trust, of which his wife, Dianne C. O'Brien, is beneficiary. Mr. O'Brien has sole voting and investment control over the shares held by the trust.
- Mr. O'Brien is the beneficiary of Jayhawk Irrevocable Trust and has investment control over the shares held by the trust.
- A charitable remainder trust established for the benefit of Mr. O'Brien's son, Shannon P. O'Brien.
- A charitable remainder trust established for the benefit of Mr. O'Brien's daughter, Megan E. O'Brien.
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