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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Boulder Brands, Inc. (MM) | NASDAQ:SMBL | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 13.82 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Hughes Stephen B |
2. Issuer Name
and
Ticker or Trading Symbol
SMART BALANCE, INC. [ SMBL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chairman and CEO |
C/O SMART BALANCE, INC.,, 6106 SUNRISE RANCH DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
LONGMONT, CO 80503 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 7/13/2012 | M | 250000 | A | (1) | 1081586 | D | |||
Common Stock | 101000 | I | By Spouse | |||||||
Common Stock | 239265 | I | Trust (2) | |||||||
Common Stock | 3000 | I | By Son |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 7/13/2012 | M | 250000 | (3) | 1/3/2022 | Common Stock | 250000 | (1) | 500000 (4) | D |
Explanation of Responses: | |
( 1) | Each restricted stock unit was granted under the Second Amended and Restated Smart Balance, Inc. Stock and Awards Plan and represented a right to receive one share of Common Stock. |
( 2) | Held in trust for Caroline Elise Hughes, John Trevelyn Hughes and Henry Thomas Hughes, adult family members not residing with Mr. Hughes. The reporting person disclaims beneficial ownership of these shares. |
( 3) | The restricted stock units vested upon completion of the performance goal, when the closing price for a share of common stock of the Company was at least $8 for 20 of 30 consecutive trading days. |
( 4) | The Reporting Person continues to hold 250,000 restricted stock units that vest, if at all, if the closing price for a share of common stock of the Company is at least $12 for 20 of 30 consecutive trading days and 250,000 restricted stock units that vest, if at all, if the closing price for a share of common stock of the Company is at least $16 for 20 of 30 consecutive trading days. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Hughes Stephen B
C/O SMART BALANCE, INC., 6106 SUNRISE RANCH DRIVE LONGMONT, CO 80503 |
X |
|
Chairman and CEO |
|
Signatures
|
||
/s/ Stephen B. Hughes | 7/17/2012 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Boulder Brands, Inc. (MM) Chart |
1 Month Boulder Brands, Inc. (MM) Chart |
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