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USBC, Inc. — Director's Dealing 2013
Jun 18, 2013
33069_dirs_2013-06-18_76d24d26-dbf5-4ecd-9160-da8e2dee3d0b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: VISUALANT INC (VSUL)
CIK: 0001074828
Period of Report: 2013-06-14
Reporting Person: ERICKSON RONALD P (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-14 | Common Stock | P | 5000000 | $.10 | Acquired | 8500000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-14 | Series A Warrant | $.15 | P | 5000000 | Acquired | 2018-06-14 | Common Stock (5000000) | Indirect |
| 2013-06-14 | Series B Warrant | $.20 | P | 5000000 | Acquired | 2018-06-14 | Common Stock (5000000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3109706 | Direct |
| Common Stock | 500000 | Indirect |
| Common Stock | 66667 | Indirect |
| Common Stock | 1000000 | Indirect |
| Common Stock | 152000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Option to Purchase Common Stock | $.15 | 2020-05-09 | Common Stock (3000000) | 3000000 | Direct |
| Option to Purchase Common Stock | $.13 | 2022-06-08 | Common Stock (1000000) | 4000000 | Direct |
Footnotes
F1: Held by Dia Armenta, the Reporting Person's wife.
F2: Held by eCharge Corp.
F3: Held by Juliz Limited Partnership- Family LP.
F4: Held by J3E2A2Z Limited Partnership.
F5: Held by Cerillion N4, an entity that is 50% owned by Dia Armenta, the Reporting Person's wife.
F6: Option vests quarterly over 2 years commencing 05/10/2010.
F7: Option vests quarterly over 1 year commencing 06/08/2012. Option grant is subject to an increase in the 2011 Stock Incentive Plan at the 2012 Annual Shareholder Meeting.
F8: Shares and warrants received as part of a Private Placement which closed 06/14/2013.