Home > Insider Trading > Filing (0001181431-14-009275)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1355304	U-Swirl Inc.	SWRL	Retail-Eating Places (5812)	432092180

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
785815	Rocky Mountain Chocolate Factory Inc	265 Turner Drive Durango CO 81303		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	Disposition	2014-02-21	300,000	$0.15	8,341,253	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Series A Preferred Stock	Convertible Debt	Acquisiton	2014-01-16	0	$7,750,000.00	8,611,111	$0.90

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
8,611,111		2016-01-16	No	4	A	Direct

Footnotes

On January 16, 2014, the reporting person entered into a loan agreement with the issuer, pursuant to which the reporting person made a loan to the issuer for a revolving line of credit of up to $7.75 million. The loan is convertible by the reporting person at any time into shares of Series A preferred stock of the issuer at a conversion rate of $0.90 per share of Series A preferred stock. Interest and fees on the loan are payable in cash, shares of Series A preferred stock, or a combination of both, at the discretion of the reporting person. The conversion rate for interest and fees is $0.30 per share of Series A preferred stock. The Series A preferred stock of the issuer is convertible by the reporting person at any time into shares of common stock of the issuer on a minimum basis of one share of Series A preferred share to three shares of common stock of the issuer.