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