0000921895-13-002130.txt : 20131105
0000921895-13-002130.hdr.sgml : 20131105
20131105152436
ACCESSION NUMBER: 0000921895-13-002130
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130613
FILED AS OF DATE: 20131105
DATE AS OF CHANGE: 20131105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SecureAlert, Inc.
CENTRAL INDEX KEY: 0001045942
STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669]
IRS NUMBER: 870543981
STATE OF INCORPORATION: UT
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 150 WEST CIVIC CENTER DRIVE
STREET 2: SUITE 400
CITY: SANDY
STATE: UT
ZIP: 84070
BUSINESS PHONE: 801-451-6141
MAIL ADDRESS:
STREET 1: 150 WEST CIVIC CENTER DRIVE
STREET 2: SUITE 400
CITY: SANDY
STATE: UT
ZIP: 84070
FORMER COMPANY:
FORMER CONFORMED NAME: REMOTE MDX INC
DATE OF NAME CHANGE: 20010807
FORMER COMPANY:
FORMER CONFORMED NAME: VOLU SOL INC
DATE OF NAME CHANGE: 19970910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Windhorst Lars
CENTRAL INDEX KEY: 0001586481
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23153
FILM NUMBER: 131192435
MAIL ADDRESS:
STREET 1: C/O SAPINDA ASIA LTD, RMS 803-4, 8TH FLR
STREET 2: HANG SENG WANCHAI BLDG, 200 HENNESY ROAD
CITY: WANCHAI
STATE: K3
ZIP: 999077
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sapinda Asia Ltd
CENTRAL INDEX KEY: 0001559275
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23153
FILM NUMBER: 131192436
BUSINESS ADDRESS:
STREET 1: 8TH FLOOR, HANG SENG BANK BUILDING
STREET 2: 200 HENNESSEY ROAD, WANCHAI
CITY: HONG KONG
STATE: K3
ZIP: 00000
BUSINESS PHONE: 852 2877 3700
MAIL ADDRESS:
STREET 1: 8TH FLOOR, HANG SENG BANK BUILDING
STREET 2: 200 HENNESSEY ROAD, WANCHAI
CITY: HONG KONG
STATE: K3
ZIP: 00000
4
1
form409525002_11052013.xml
OWNERSHIP DOCUMENT
X0306
4
2013-06-13
0
0001045942
SecureAlert, Inc.
SCRA
0001559275
Sapinda Asia Ltd
ROOMS 803-4, 8TH FLOOR
HANG SENG BANK BUILDING, 200 HENNESSY RD
WANCHAI, HONG KONG
K3
00000
HONG KONG
0
0
1
0
0001586481
Windhorst Lars
C/O SAPINDA ASIA LTD, RMS 803-4, 8TH FLR
HANG SENG WANCHAI BLDG, 200 HENNESY ROAD
WANCHAI
K3
999077
HONG KONG
0
0
1
0
Common Stock
2013-06-13
4
P
0
556648
7.50
A
1184899
D
Common Stock
2013-09-30
4
C
0
3905917
4.50
A
5090816
D
Common Stock
2013-10-29
4
S
0
628251
19.00
D
4462565
D
Common Stock
2013-10-30
4
S
0
556648
7.50
D
3905917
D
Convertible Loan
4.50
2013-09-30
4
C
0
16640000
0
D
2013-03-01
2014-06-17
Common Stock
3905917
0
D
This Form 4 is filed jointly by Sapinda Asia Limited ("Sapinda Asia") and Lars Windhorst (collectively, the "Reporting Persons"). As the sole shareholder of Sapinda Asia, Mr. Windhorst may be deemended to beneficially own the Common Stock beneficially owned by Sapinda Asia. Mr. Windhorst disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
200-for-1 reverse stock split of the Common Stock took effect on March 25, 2013.
Mr. Windhorst directly owns the 556,648 shares of Common Stock acquired on June 13, 2013.
On September 30, 2013, pursuant to the Loan and Security Agreement between Sapinda Asia and the Issuer, Sapinda Asia converted the entire principal of $16,640,000 and the accrued and unpaid interest under the loan into 3,905,917 shares of Common Stock at a post-reverse stock split rate of $4.50 per share.
Mr. Windhorst directly owned the 556,648 shares of Common Stock disposed of on October 30, 2013.
Sapinda Asia Limited; By: /s/ Lars Windhorst, Authorized Signatory
2013-11-05
By: /s/ Lars Windhorst
2013-11-05