Smart Move, Inc. - Statement of Changes in Beneficial Ownership (4)
August 07 2008 - 8:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SCHLESSMAN LEE E
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2. Issuer Name
and
Ticker or Trading Symbol
SMART MOVE, INC.
[
MVE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
5900 GREENWOOD PLAZA BLVD., SUITE 390
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/5/2008
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(Street)
GREENWOOD VILLAGE, CO 80111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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258649
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D
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Common Stock
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690618
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Note Conversion
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987729
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrants
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$.625
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9/30/2004
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9/30/2009
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Common stock
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27967
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27967
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D
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Warrants
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$2.50
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9/30/2005
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9/30/2010
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Common stock
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2762
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30729
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D
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Warrants
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$7.50
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9/15/2006
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9/30/2011
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Common stock
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6136
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36865
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D
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Warrants
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$5.00
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1/16/2006
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1/19/2011
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Common stock
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34714
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71579
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D
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Warrants
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$7.50
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1/16/2006
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1/16/2011
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Common stock
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3000
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74579
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D
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Warrants
(4)
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$3.375
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1/16/2006
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1/16/2011
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Common stock
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100116
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174695
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D
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Warrants
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$.625
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9/30/2004
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9/30/2009
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Warrants
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68182
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242877
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
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$2.50
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9/30/2005
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9/30/2010
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Warrants
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184200
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427077
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
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$7.50
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9/15/2006
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9/30/2011
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Warrants
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17045
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444122
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warants
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$5.00
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1/16/2006
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1/16/2011
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Warrants
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33334
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477456
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
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$7.00
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7/26/2006
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7/26/2011
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Warrants
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266000
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743456
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
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$7.50
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9/15/2006
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9/15/2011
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Warrants
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28800
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772256
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Converible Notes
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$3.
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9/30/2005
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9/30/2010
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Convertible Notes
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511667
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1283923
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Convertible Notes
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$3.75
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1/16/2006
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1/16/2011
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Convertible Notes
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133334
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1283923
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Convertible Notes
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$3.75
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7/26/2006
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7/26/2011
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Convertible Notes
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886666
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2170589
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Convertible Notes
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$2.00
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8/28/2007
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9/1/2009
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Convertible Notes
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200000
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2370589
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D
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Convertible Notes
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$2.00
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8/28/2007
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9/1/2009
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Convertible Notes
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50000
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2420589
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
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$7.50
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8/28/2007
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12/5/2012
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Warrants
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40000
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2460589
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D
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Warrants
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$7.50
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8/28/2007
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12/5/2012
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Warrants
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10000
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2470589
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Convertible Note
(1)
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$1.00
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11/12/2007
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10/1/2009
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Convertible Notes
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171000
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2641589
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D
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Convertible Note
(2)
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$1.00
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11/12/2007
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10/1/2009
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Convertible Notes
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105300
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2746889
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Warrants
(1)
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$1.50
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11/12/2007
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11/12/2012
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Warrants
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171000
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2917889
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D
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Warrants
(2)
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$1.50
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11/12/2007
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11/12/2012
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Warrants
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105300
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3023189
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I
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Owned by various family members and entities that the filer has control by POA or ownership
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Convertible Note
(3)
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$1.00
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11/12/2007
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10/1/2008
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Common Stock
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0
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3023189
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D
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Warrants
(3)
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$.95
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11/12/2007
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11/12/2012
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Common Stock
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25000
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3048189
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D
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Warrants
(3)
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$1.20
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11/12/2007
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11/12/2012
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Common Stock
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25000
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3073189
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D
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Warrants
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$1.00
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1/16/2008
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1/16/2013
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Common Srock
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12500
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3085689
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D
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Convertible Debt
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$.75
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6/16/2008
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1/16/2010
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Common Stock
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233333
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3319022
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D
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Warrants
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$1.00
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1/16/2008
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1/16/2013
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Common Stock
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116667
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3435689
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D
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Convertible Debt
(5)
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$.40
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8/5/2008
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J
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375000
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8/5/2008
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8/5/2011
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Common Stock
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375000
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$.40
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3810689
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D
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Explanation of Responses:
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(
1)
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Note Unit acquired in a private placement purchase consisting of a secured convertible note, $171,000 face amount, and a warrant to purchase an aggregate 171,000 shares.
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(
2)
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Note Unit acquired in a private placement purchase consisting of a secured convertible note, $109,800 face amount, and a warrant to purchase an aggregate 109,800 shares by family members of entities that the filer controls by POA or ownership.
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(
3)
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Note units acquired in a private placement consisting of a subordinated secured note, $25,000 face amount, and a warrant to purchase an aggregate of 50,000 shares.
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(
4)
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These transactions were inadvertently omitted from Forms 4 originally filed on the reporting person's behalf on November 2, 2007.
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(
5)
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Purchase of convertible debt with warrants.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SCHLESSMAN LEE E
5900 GREENWOOD PLAZA BLVD.
SUITE 390
GREENWOOD VILLAGE, CO 80111
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X
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Signatures
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/s/ Lee Schlessman, POA Pete Bloomquist
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8/6/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
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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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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.
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