SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
TAWES ORRIE LEE

(Last) (First) (Middle)
NEW LEAF BRANDS, INC.
9380 E. BAHIA DRIVE, SUITE A201

(Street)
SCOTTSDALE AZ 85260

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
New Leaf Brands, Inc. [ NLEF ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/31/2009
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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(1) 11/30/2009 A 12,952,190 A (1) 14,976,616 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Warrants(2) $0.4 03/30/2007 11/30/2009 J 125,000 03/30/2007 03/30/2012 Common Stock 125,000 (2) 2,083,959 D
Warrants(2) $0.4 03/30/2007 11/30/2009 J 250,000 03/30/2007 03/30/2012 Common Stock 250,000 (2) 1,833,959 D
Warrants(2) $0.8 03/30/2007 11/30/2009 J 100,000 03/30/2007 03/30/2012 Common Stock 100,000 (2) 1,733,959 D
Warrants(2) $0.8 02/04/2008 11/30/2009 J 50,000 02/04/2008 10/23/2013 Common Stock 50,000 (2) 1,683,959 D
Warrants(2) $0.79 02/19/2008 11/30/2009 J 50,000 02/19/2008 10/23/2013 Common Stock 50,000 (2) 1,633,959 D
Warrants(2) $0.8 04/04/2008 11/30/2009 J 78,125 04/04/2008 03/17/2014 Common Stock 78,125 (2) 1,555,834 D
Warrants(2) $0.8 07/14/2008 11/30/2009 J 312,500 07/14/2008 07/14/2013 Common Stock 312,500 (2) 1,243,334 D
Warrants(2) $0.85 09/05/2008 11/30/2009 J 150,000 09/05/2008 09/05/2013 Common Stock 150,000 (2) 1,093,334 D
Warrants(2) $0.85 02/11/2009 11/30/2009 J 75,000 02/11/2009 02/11/2014 Common Stock 75,000 (2) 1,018,334 D
Warrants(2) $0.85 03/26/2009 11/30/2009 J 175,000 03/26/2009 03/26/2014 Common Stock 175,000 (2) 843,334 D
Warrants $0.4 08/31/2009 A 4,167 08/31/2009 03/30/2012 Common Stock 4,167 (2) 847,501 D
Warrants(2) $0.4 11/25/2009 J 4,167 11/25/2009 03/30/2012 Common Stock 4,167 (2) 843,334 D
Class I Convertible Preferred Stock $0.8 08/31/2009 A 1,667 03/27/2007 (3) Common Stock 55,567 (2) 898,901 D
Class I Convertible Preferred Stock(2) $0.8 11/25/2009 J 1,667 03/27/2007 (3) Common Stock 55,567 (2) 843,334 D
Class I Convertible Preferred Stock(2) $0.6 11/25/2009 J 50,000 03/27/2007 (3) Common Stock 833,334 (2) 10,000 D
Warrants(4) $0.25 11/25/2009 A 350,000 11/25/2009 11/25/2014 Common Stock 350,000 (4) 360,000 D
Explanation of Responses:
1. Pursuant to the Agreement between the Issuer and Mr. Tawes dated November 30, 2009 and filed as Exhibit 10.1 with the Issuer's Form 8-K on December 1, 2009, Mr. Tawes received 1,369,792 shares of common stock after exchanging $342,448 in debt issued by the Issuer; 9,623,728 shares of common stock after exchanging certain notes payable and other remaining accrued payables; 1,958,670 shares of common stock after exchanging his Class I Preferred Stock along with accrued dividends. Mr. Tawes also received cash in the transaction as further described in the Agreement. Mr. Tawes received these shares on December 16, 2009.
2. Pursuant to the Agreement between the Issuer and Mr. Tawes dated November 30, 2009, Mr. Tawes returned these and certain other securities to the Issuer in exchange for 12,952,190 shares of common stock and cash as further described in the Agreement.
3. N/A
4. Pursuant to the Agreement between the Issuer and Mr. Tawes dated November 30, 2009, Mr. Tawes received warrants to purchase 350,000 shares of common stock.
/s/ O. LEE TAWES 12/17/2009
** 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).
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