Filing Details

Accession Number:
0001144204-10-066729
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-12-15 20:15:49
Reporting Period:
2010-12-14
Filing Date:
2010-12-15
Accepted Time:
2010-12-15 20:15:49
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 2010-12-14 2,300 $4.35 56,900 No 4 P Indirect Held by Bayway Investment Fund.
Common Stock Acquisiton 2010-12-14 2,300 $4.35 26,300 No 4 P Indirect Held by Hawkeye Irrevocable Trust.
Common Stock Acquisiton 2010-12-14 2,300 $4.35 25,900 No 4 P Indirect Held by Jayhawk Irrevocable Trust.
Common Stock Acquisiton 2010-12-14 2,300 $4.36 7,300 No 4 P Indirect Held by Michael R. and Dianne C. O'Brien Trust
Common Stock Acquisiton 2010-12-14 2,300 $4.35 7,300 No 4 P Indirect Held by Megan E. O'Brien Trust UTMA.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by Bayway Investment Fund.
No 4 P Indirect Held by Hawkeye Irrevocable Trust.
No 4 P Indirect Held by Jayhawk Irrevocable Trust.
No 4 P Indirect Held by Michael R. and Dianne C. O'Brien Trust
No 4 P Indirect Held by Megan E. O'Brien Trust UTMA.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,000 Indirect Held by Heather Yeatman Holmstrom Irrevocable Trust.
Common Stock 27,396 Indirect Held by Aragon Trading Company, L.P.
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 Dianne C. O'Brien Trust.
Common Stock 5,000 Indirect Held by Michael R. O'Brien Rollover IRA.
Common Stock 39,878 Direct
Footnotes
  1. Mr. O'Brien disclaims beneficial ownership over these shares, except to the extent of his pecuniary interest therein.
  2. Mr. O'Brien has sole voting and investment power over these shares.
  3. 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.
  4. Mr. O'Brien is the beneficiary of Jayhawk Irrevocable Trust and has investment control over the shares held by the trust.
  5. A charitable remainder trust established for the benefit of Mr. O'Brien's son, Shannon P. O'Brien.
  6. A charitable remainder trust established for the benefit of Mr. O'Brien's daughter, Megan E. O'Brien