Filing Details
- Accession Number:
- 0001144204-12-025207
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-01 13:27:34
- Reporting Period:
- 2012-04-30
- Filing Date:
- 2012-05-01
- Accepted Time:
- 2012-05-01 13:27:34
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1426506 | Smg Indium Resources Ltd. | SMGI | Miscellaneous Metal Ores (1090) | 510662991 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1519560 | Z. Ailon Grushkin | C/O Smg Indium Resources Ltd., 100 Park Avenue, 16Th Floor Newyork NY 10017 | President | Yes | Yes | 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, Par Value $0.001 | Acquisiton | 2012-04-30 | 20,000 | $0.00 | 97,307 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrants | Acquisiton | 2012-04-30 | 20,000 | $0.00 | 20,000 | $5.75 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
97,307 | 2012-04-30 | 2016-05-04 | No | 4 | P | Indirect |
Footnotes
- Represent securities purchased directly by AZG Tangible Assets Fund LLC. Ailon Z. Grushkin is the Managing Member of Nano-Cap Advisors LLC, the Managing Member of AZG Tangible Assets Fund LLC.
- The reported Securities are included within 20,000 Units purchased by the Reporting Person for $2.66 per Unit. Each Unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock.
- The reported Securities purchased were executed through Andrew Garrett Inc. The broker of record at Andrew Garrett Inc. was Richard A. Biele, a director, the chief operating officer and through BRACK Advisors LLC, a member of Specialty Metals Group Advisors LLC, the Manager of SMG Indium Resources Ltd. The trade was executed on an unsolicited basis and Mr. Biele received his standard brokerage commission for the trade execution.