Filing Details
- Accession Number:
- 0000919574-12-002619
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-04-02 20:44:59
- Reporting Period:
- 2011-08-31
- Filing Date:
- 2012-04-02
- Accepted Time:
- 2012-04-02 19:44:59
- 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 |
---|---|---|---|---|---|---|---|
1523557 | Talara Capital Management, Llc | 805 Third Avenue, 20Th Floor New York NY 10022 | No | No | Yes | No | |
1546264 | David Zusman | 805 Third Avenue, 20Th Floor New York NY 10022 | 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 Shares | Acquisiton | 2011-08-31 | 1,000 | $5.05 | 646,000 | No | 4 | P | Indirect | See Footnote |
Common Shares | Acquisiton | 2011-09-27 | 500 | $4.52 | 646,500 | No | 4 | P | Indirect | See Footnote |
Common Shares | Acquisiton | 2011-09-29 | 100 | $4.55 | 646,600 | No | 4 | P | Indirect | See Footnote |
Common Shares | Acquisiton | 2011-09-30 | 4,000 | $4.35 | 650,600 | No | 4 | P | Indirect | See Footnote |
Common Shares | Acquisiton | 2012-01-31 | 1,000 | $3.60 | 651,600 | No | 4 | P | Indirect | See Footnote |
Common Shares | Acquisiton | 2012-03-29 | 1,000 | $3.45 | 652,600 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Shares | Warrant | Acquisiton | 2011-08-31 | 1,000 | $5.05 | 1,000 | $5.75 |
Common Shares | Warrant | Acquisiton | 2011-09-27 | 500 | $4.52 | 500 | $5.75 |
Common Shares | Warrant | Acquisiton | 2011-09-29 | 100 | $4.55 | 100 | $5.75 |
Common Shares | Warrant | Acquisiton | 2011-09-30 | 4,000 | $4.35 | 4,000 | $5.75 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
646,000 | 2011-06-01 | 2016-05-01 | No | 4 | P | Indirect |
646,500 | 2011-06-01 | 2016-05-01 | No | 4 | P | Indirect |
646,600 | 2011-06-01 | 2016-05-01 | No | 4 | P | Indirect |
650,600 | 2011-06-01 | 2016-05-01 | No | 4 | P | Indirect |
Footnotes
- Prior to October 12, 2011, the Reporting Persons owned 645,000 units. Each unit consists of one share of Class A common stock and one warrant to purchase one share of common stock at an exercise price of $5.75 per share. On October 12, 2011, the Reporting Persons converted each unit to one share of Class A common stock and one warrant.
- These securities are held in the accounts of several investment partnerships and investment funds (collectively, the "Investment Vehicles") for which Talara serves as investment manager or general partner. David Zusman is the managing member of Talara. Talara and Mr. Zusman may be deemed to beneficially own the securities held by the Investment Vehicles by virtue of Talara's position as investment manager or general partner of the Investment Vehicles and Mr. Zusman's status as the managing member of Talara. Each reporting person hereby disclaims beneficial ownership over the securities, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that any reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.