0001181431-14-009275.txt : 20140225
0001181431-14-009275.hdr.sgml : 20140225
20140225203840
ACCESSION NUMBER: 0001181431-14-009275
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140116
FILED AS OF DATE: 20140225
DATE AS OF CHANGE: 20140225
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: U-SWIRL, INC.
CENTRAL INDEX KEY: 0001355304
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-EATING PLACES [5812]
IRS NUMBER: 432092180
STATE OF INCORPORATION: NV
FISCAL YEAR END: 0228
BUSINESS ADDRESS:
STREET 1: 1175 AMERICAN PACIFIC #C
CITY: HENDERSON
STATE: NV
ZIP: 89074
BUSINESS PHONE: (702) 586-8700
MAIL ADDRESS:
STREET 1: 1175 AMERICAN PACIFIC #C
CITY: HENDERSON
STATE: NV
ZIP: 89074
FORMER COMPANY:
FORMER CONFORMED NAME: HEALTHY FAST FOOD INC
DATE OF NAME CHANGE: 20060307
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROCKY MOUNTAIN CHOCOLATE FACTORY INC
CENTRAL INDEX KEY: 0000785815
STANDARD INDUSTRIAL CLASSIFICATION: SUGAR & CONFECTIONERY PRODUCTS [2060]
STATE OF INCORPORATION: CO
FISCAL YEAR END: 0228
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-53130
FILM NUMBER: 14642610
BUSINESS ADDRESS:
STREET 1: 265 TURNER DR
CITY: DURANGO
STATE: CO
ZIP: 81301
BUSINESS PHONE: 3032590554
MAIL ADDRESS:
STREET 1: 265 TURNER DRIVE
CITY: DURANGO
STATE: CO
ZIP: 81301
4
1
rrd403504.xml
X0306
4
2014-01-16
0
0001355304
U-SWIRL, INC.
SWRL
0000785815
ROCKY MOUNTAIN CHOCOLATE FACTORY INC
265 TURNER DRIVE
DURANGO
CO
81303
0
0
1
0
Common Stock
2014-02-21
4
S
0
300000
0.15
D
8341253
D
Convertible Debt
.90
2014-01-16
4
A
0
7750000
7750000
A
2016-01-16
Series A Preferred Stock
8611111
8611111
D
On January 16, 2014, the reporting person entered into a loan agreement with the issuer, pursuant to which the reporting person made a loan to the issuer for a revolving line of credit of up to $7.75 million. The loan is convertible by the reporting person at any time into shares of Series A preferred stock of the issuer at a conversion rate of $0.90 per share of Series A preferred stock. Interest and fees on the loan are payable in cash, shares of Series A preferred stock, or a combination of both, at the discretion of the reporting person. The conversion rate for interest and fees is $0.30 per share of Series A preferred stock. The Series A preferred stock of the issuer is convertible by the reporting person at any time into shares of common stock of the issuer on a minimum basis of one share of Series A preferred share to three shares of common stock of the issuer.
/s/ Bryan J. Merryman, Chief Financial Officer
2014-02-25