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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to U-Swirl, Inc.
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| March 2, 2016 |
swrl201603011515d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 333-164096 U-SWIRL, INC. (Exact name of registrant as |
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| January 19, 2016 |
swrl20160118posam.htm As filed January 18, 2016 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 9 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Indus |
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| January 5, 2016 |
swrl201601041512g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-53130 U-SWIRL, INC. (Exact name of registrant as s |
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| October 28, 2015 |
swrl201510278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2015 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Com |
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| October 15, 2015 |
U-Swirl FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended August 31, 2015 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-53130 U-SWIRL, I |
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| October 13, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition swrl201510138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2015 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Com |
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| October 13, 2015 |
U-SWIRL, INC. REPORTS SECOND QUARTER OPERATING RESULTS EX-99.1 2 ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS SECOND QUARTER OPERATING RESULTS DURANGO, Colorado (October 13, 2015) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent of U-SWIRL International, Inc., through which it owns and franchises self-serve frozen yogurt cafés, today reported its operating results for the three and six months ended |
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| July 14, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition swrl201507138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 14, 2015 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Commis |
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| July 14, 2015 |
U-SWIRL, INC. REPORTS FIRST QUARTER OPERATING RESULTS EX-99.1 2 ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS FIRST QUARTER OPERATING RESULTS DURANGO, Colorado (July 14, 2015) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent to U-SWIRL International, Inc., through which it owns and franchises self-serve frozen yogurt cafés, today reported its operating results for the three months ended May 31, 201 |
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| June 16, 2015 |
SWRL / U-Swirl, Inc. / Jones Dallas - SCHEDULE 13G Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 10 5 (CUSIP Number) February 2, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| May 21, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition swrl201505208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2015 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Commiss |
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| May 21, 2015 |
EX-99.1 2 ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS FY2015 OPERATING RESULTS LOSS PER SHARE IMPROVES TO ($0.01) VS. ($0.14) IN PREVIOUS FISCAL YEAR DURANGO, Colorado (May 21, 2015) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent to U-SWIRL International, Inc., through which it owns and franchises self-serve frozen yogurt cafés, today report |
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| March 3, 2015 |
AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS The undersigned, a director of U-Swirl, Inc. |
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| January 13, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition swrl201501138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2015 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Com |
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| January 13, 2015 |
U-SWIRL, INC. REPORTS 246 PERCENT INCREASE IN NET INCOME FOR FIRST NINE MONTHS OF FY2015 ex99-1.htm EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS 246 PERCENT INCREASE IN NET INCOME FOR FIRST NINE MONTHS OF FY2015 DURANGO, Colorado (January 13, 2015) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent to U-SWIRL International, Inc., through which it owns and franchises self-serve frozen yogurt cafés, today reported its operating results for the third quarter a |
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| October 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition swrl201410148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2014 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorporation) (Com |
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| October 14, 2014 |
EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS RECORD NET INCOME FOR FIRST HALF OF FY2015 COMPANY COMPLETES MANAGEMENT RESTRUCTURING AND FOCUSES ON ACHIEVING EFFICIENCIES AND POSITIONING THE COMPANY FOR PROFITABLE GROWTH DURANGO, Colorado (October 14, 2014) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent to U-SWIRL International, Inc., through which it owns and franchi |
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| October 8, 2014 |
SWRL / U-Swirl, Inc. 144/A - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| October 8, 2014 |
SWRL / U-Swirl, Inc. 144/A - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| October 1, 2014 |
SWRL / U-Swirl, Inc. 144 - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| October 1, 2014 |
SWRL / U-Swirl, Inc. 144/A - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| October 1, 2014 |
SWRL / U-Swirl, Inc. 144 - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| September 9, 2014 |
swrl201409098k.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 4, 2014 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43 |
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| September 9, 2014 |
swrl201409098k.htm Exhibit 99.1 For Immediate Release U-Swirl, Inc. Announces Management and Operational Changes to Enhance Franchise Support, Profitability and Cash Flow Bryan Merryman Appointed Chairman and CEO of U-Swirl, Inc., along with a Proven Management Team Focused on “Consolidation” Strategy within Frozen Dessert Industry HENDERSON, Nevada-(Marketwired – September 9, 2014) - U-Swirl, Inc |
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| July 17, 2014 |
SWRL / U-Swirl, Inc. 144 - - FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| July 15, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 swrl201407148k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2014 U-SWIRL, INC. (Exact name of registrant as specified in is charter) Nevada 000-53130 43-2092180 (State or other jurisdiction of incorpo |
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| July 15, 2014 |
EX-99 2 ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 For Immediate Release U-SWIRL, INC. REPORTS 124% INCREASE IN FIRST QUARTER NET INCOME REVENUE INCREASES 46% FOLLOWING ACQUISITIONS THAT MORE THAN TRIPLE NUMBER OF FRANCHISED FROZEN YOGURT CAFES HENDERSON, Nevada (July 15, 2014) – U-Swirl, Inc. (OTCQB: SWRL) (“U-Swirl” or “the Company”), parent to U-SWIRL International, Inc., through which it owns and fr |
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| May 29, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 0-53130 CUSIP Number 90349P 105 (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For period ended: February 28, 2014 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K |
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| April 22, 2014 |
U-Swirl International 1175 American Pacific, Suite C Henderson, NV 89074 (702) 586-8700 EX-4.1 2 f41-042214uswirl.htm EXHIBIT 4-1 4-22-14 U-SWIRL April 21, 2014 Rocky Mountain Chocolate Factory, Inc. 265 Turner Drive Durango, Colorado 81303 RE: U-Swirl, Inc. Purchase Warrant Issued to Rocky Mountain Chocolate Factory, Inc. on January 14, 2014 Exercisable to Purchase up to 9,110,250 Shares of U-Swirl, Inc. (the “RMCF Warrant”) Ladies and Gentlemen: Please be advised that U-Swirl, Inc. |
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| April 22, 2014 |
U-SWIRL, INC. ANNOUNCES REDEMPTION OF OUTSTANDING EX-99.1 CHARTER 3 f991-042214uswirl.htm EXHIBIT 99.1 4-22-14 U-SWIRL U-SWIRL, INC. ANNOUNCES REDEMPTION OF OUTSTANDING WARRANTS HENDERSON, Nevada (April 22, 2014) – U-Swirl, Inc. (OTCQB: SWRL) (“the Company” or “U-Swirl”), the owner and franchisor of U-SWIRL Frozen Yogurt® cafés, today announced its intention to redeem its outstanding Class C warrants, which were initially issued in its 2010 publi |
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| April 22, 2014 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2014 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employer |
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| March 14, 2014 |
2,025,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. 2,025,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. |
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| March 14, 2014 |
300,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. 300,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. This prospectus relates to the potential resale by certain security holders (the “Selling Security Holders”) of up to (a) 150,000 shares of common stock and 150,000 redeemable Class C warrants issuable upon exercise of outstanding underwriter’s warrants and (b) 150,000 shares of common stock issuable upon exercise of |
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| February 28, 2014 |
- POST EFFECTIVE AMD 8 U-SWIRL As filed February 28, 2014 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 8 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Industrial Classification |
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| February 27, 2014 |
EX-99.1 2 exh99-1.htm EXH 99-1 EXHIBIT 99.1 UNAUDITED CONSOLIDATED BLANCE SHEET AS OF JANUARY 18, 2014 AND UNAUDITED STATEMENT OF OPERATIONS FOR THE PERIOD MARCH 1, 2013 THROUGH JANUARY 18, 2014 U-SWIRL, INC. CONSOLIDATED BALANCE SHEETS UNAUDITED January 18, 2014 ASSETS Current assets Cash $ 521,700 Accounts receivable, net 114,800 Inventory 70,400 Prepaid expenses 75,700 Total current assets 782, |
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| February 27, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K 2-27-14 U-SWIRL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2014 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Emplo |
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| January 23, 2014 |
EX-99.1 2 exh99-1pressrelease.htm EXH 99-1 PRESS RELEASE 1-21-14 EXHIBIT 99.1 PRESS RELEASE DATED JANUARY 21, 2014 U-Swirl, Inc. Reports Third Quarter Operating Results Size and Scope of Company's Operations to Benefit Substantially From Acquisition of Two Self-Serve Frozen Yogurt Chains HENDERSON, NV-(Marketwired - Jan 21, 2014) - U-Swirl, Inc. (OTCQB: SWRL) ("the Company"), parent to U-SWIRL Int |
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| January 23, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2014 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employ |
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| January 22, 2014 |
EXHIBIT 99.1 LOAN AND SECURITY AGREEMENT BETWEEN U-SWIRL, INC. AND ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. DATED JANUARY 16, 2014 LOAN AND SECURITY AGREEMENT Dated as of January 16, 2014 by and between U-SWIRL, INC. and ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. This LOAN AND SECURITY AGREEMENT (this “Agreement”) is entered into as of January 16, 2014, by and between ROCKY MOUNTAIN CHOCOLATE FACTORY, I |
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| January 22, 2014 |
EXHIBIT 2.2 ASSET PURCHASE AGREEMENT AMONG U-SWIRL, INC., YOGLI MOGLI FRANCHISE LLC, YOGLI MOGLI LLC, YOGLI MOGLI NEWMAN LLC, YOGLI MOGLI ENTERPRISES LLC, AND YOGLI MOGLI WHEATON, LLC DATED JANUARY 17, 2014 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”) is made and entered into as of January 17, 2014, by and among U-Swirl, Inc., a Nevada corporation (“Buyer”), Yogli Mogl |
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| January 22, 2014 |
EXHIBIT 2.1 ASSET PURCHASE AGREEMENT AMONG U-SWIRL, INC., CHERRYBERRY ENTERPRISES LLC, CHERRYBERRY CORPORATE LLC, AND CHERRYBERRY LLC, DATED JANUARY 17, 2014 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”) is made and entered into as of January 17, 2014, by and among U-Swirl, Inc., a Nevada corporation (“Buyer”), CherryBerry Enterprises LLC, an Oklahoma limited liability |
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| January 22, 2014 |
EXHIBIT 99.2 PRESS RELEASE DATED JANUARY 17, 2014 U-SWIRL, Inc. Press Release Rocky Mountain Chocolate Factory's Majority-Owned U-Swirl, Inc. Subsidiary More Than Triples Size of Cafe Network Acquisitions of CherryBerry and Yogli Mogli Frozen Yogurt Chains Add 182 Self-Serve Cafés in 27 States and Three Foreign Countries DURANGO, CO and HENDERSON, NV-(Marketwired - Jan 17, 2014) - Rocky Mountain C |
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| January 22, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 16, 2014 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employ |
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| January 21, 2014 |
U-Swirl FORM 10-Q 11-30-2013 (Quarterly Report) f10q-113013uswirl.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended November 30, 2013 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file n |
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| January 21, 2014 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-164096 PROSPECTUS SUPPLEMENT NO. 1 DATED JANUARY 21, 2014 TO PROSPECTUS DATED NOVEMBER 4, 2013 U-Swirl, Inc. 1,725,000 Shares of Common Stock This prospectus supplement supplements the Prospectus dated November 4, 2013 of U-Swirl, Inc. relating to the sale of up to 1,725,000 shares of the common stock of U-Swirl, Inc. upon the exercise of redee |
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| January 14, 2014 |
- FORM 12B-25 U-SWIRL, INC. 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 0-53130 CUSIP Number 90349P 105 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For period ended: November 30, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K |
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| November 5, 2013 |
2,025,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. 2,025,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. |
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| November 5, 2013 |
300,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. 300,000 Shares of Common Stock 150,000 redeemable Class C Warrants U-Swirl, Inc. This prospectus relates to the potential resale by certain security holders (the “Selling Security Holders”) of up to (a) 150,000 shares of common stock and 150,000 redeemable Class C warrants issuable upon exercise of outstanding underwriter’s warrants and (b) 150,000 shares of common stock issuable upon exercise of |
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| November 4, 2013 |
November 4, 2013 Justin Dobbie Legal Branch Chief Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| October 23, 2013 |
October 23, 2013 Justin Dobbie Legal Branch Chief Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| October 22, 2013 |
As filed October 22, 2013 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 7 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Industrial Classification C |
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| October 15, 2013 |
EXHIBIT 99.1 PRESS RELEASE DATED OCTOBER 15, 2013 EARNINGS TURNAROUND CONTINUES AT U-SWIRL, INC. DURING SECOND QUARTER OF FY2014 SIX-MONTH NET INCOME IMPROVES TO $327,871, COMPARED WITH NET LOSS OF ($79,891) IN PRIOR-YEAR PERIOD HENDERSON, Nevada (October 15, 2013) – U-Swirl, Inc. (OTCQB: SWRL) (“the Company”), parent to U-SWIRL International, Inc., through which it owns and franchises self-serve |
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| October 15, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 15, 2013 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employ |
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| August 2, 2013 |
- POST-EFFECTIVE AMD 6 U-SWIRL As filed August 2, 2013 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 6 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Industrial Classification Cod |
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| June 25, 2013 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2013 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employer |
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| June 25, 2013 |
LETTER FROM LL BRADFORD & COMPANY, LLC EXHIBIT 16.1 LETTER FROM LL BRADFORD & COMPANY, LLC Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 June 25, 2013 Dear Sir/Madam: We have read the statements included in the Form 8-K dated June 25, 2013, of U-Swirl, Inc. to be filed with the Securities and Exchange Commission and are in agreement with the statements contained in Item 4.01 i |
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| June 21, 2013 |
EXHIBIT 99.1 Audited financial statements of Aspen Leaf Yogurt, LLC as of February 29, 2012 and February 28, 2011, and the related statements of operations, changes in member's equity and cash flows for the period from inception (October 14, 2010) through February 28, 2011 and the year ended February 29, 2012 and the unaudited financial statements as of and for the nine months ended November 30, 2 |
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| June 21, 2013 |
EXHIBIT 99.2 Unaudited pro forma combined condensed balance sheet as of December 31, 2012 and the unaudited pro forma combined condensed statements of operations for the year ended December 31, 2012, and the related notes thereto U-SWIRL INTERNATIONAL, INC. PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS DECEMBER 31, 2012 UNAUDITED The following unaudited pro forma condensed consolidated bal |
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| June 21, 2013 |
Financial Statements and Exhibits - FORM 8-K AMD 1 1-14-13 U-SWIRL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2013 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2 |
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| May 31, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) o ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended ý TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from January 1, 2013 to February 28, 2013 Commission File No. 000-53 |
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| May 28, 2013 |
- FOR THE TRANSITION PERIOD FROM JANUARY 1, 2013 TO FEBRUARY 28, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K o ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended ý TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from January 1, 2013 to February 28, 2013 Commission File No. 000-53130 U-Swirl, Inc. (E |
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| April 11, 2013 |
SWRL / U-Swirl, Inc. / PAULSON CAPITAL (DELAWARE) CORP. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* U-SWIRL, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P105 (CUSIP Number) April 11, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 21, 2013 |
AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS The undersigned, a director of U-Swirl, Inc. |
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| February 21, 2013 |
AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS EX-24.1 2 poa1.htm POWER OF ATTORNEY AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS The undersigned, a director of U-Swirl, Inc., a Nevada corporation (the “Company”), does hereby authorize and designate Fay M. Matsukage to sign and file on his behalf any and all Forms 3, 4 and 5 relating to equity securities of the Company with the Securities and Exchange Commission pur |
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| February 21, 2013 |
AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS AUTHORIZATION AND DESIGNATION TO SIGN AND FILE SECTION 16 REPORTING FORMS The undersigned, a director of U-Swirl, Inc. |
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| February 19, 2013 |
SCHEDULE 13G JOINT FILING AGREEMENT Exhibit 1 SCHEDULE 13G JOINT FILING AGREEMENT The undersigned and each other person executing this joint filing agreement (this “Agreement”) agree as follows: (i) The undersigned and each other person executing this Agreement are individually eligible to use the Schedule 13G in accordance with the Securities Exchange Act of 1934 and the regulations promulgated thereunder is attached and such sched |
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| February 19, 2013 |
SWRL / U-Swirl, Inc. / PAULSON CAPITAL (DELAWARE) CORP. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* U-SWIRL, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P105 (CUSIP Number) Calendar Year 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 25, 2013 |
SWRL / U-Swirl, Inc. / ROCKY MOUNTAIN CHOCOLATE FACTORY INC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* U-Swirl, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 90349P 105 (CUSIP Number) Bryan J. Merryman With a copy to: Chief Financial Officer Sonny Allison Rocky Mountain Chocolate Factory, Inc. Perkins Coie LL |
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| January 23, 2013 |
SWRL / U-Swirl, Inc. / CARTWRIGHT HENRY E - SCH 13D/AMD 2 H CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| January 23, 2013 |
EXHIBIT 99.1 VOTING AGREEMENT AMONG U-SWIRL, INC., HENRY CARTWRIGHT, ULDERICO CONTE, TERRY CARTWRIGHT, ROCKY MOUNTAIN CHOCOLATE FACTORY, INC., AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 VOTING AGREEMENT THIS VOTING AGREEMENT is made and entered into as of this 14th day of January, 2013, by and among U-Swirl, Inc., a Nevada corporation (the “Company”), Henry Cartwright, an individual residin |
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| January 23, 2013 |
SWRL / U-Swirl, Inc. / CONTE ULDERICO - SCH 13D/AMD 2 CONTE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| January 23, 2013 |
SWRL / U-Swirl, Inc. / CARTWRIGHT TERRY A - SCH 13D AMD 2 T CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| January 23, 2013 |
EXHIBIT 99.1 VOTING AGREEMENT AMONG U-SWIRL, INC., HENRY CARTWRIGHT, ULDERICO CONTE, TERRY CARTWRIGHT, ROCKY MOUNTAIN CHOCOLATE FACTORY, INC., AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 VOTING AGREEMENT THIS VOTING AGREEMENT is made and entered into as of this 14th day of January, 2013, by and among U-Swirl, Inc., a Nevada corporation (the “Company”), Henry Cartwright, an individual residin |
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| January 23, 2013 |
EXHIBIT 99.1 VOTING AGREEMENT AMONG U-SWIRL, INC., HENRY CARTWRIGHT, ULDERICO CONTE, TERRY CARTWRIGHT, ROCKY MOUNTAIN CHOCOLATE FACTORY, INC., AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 VOTING AGREEMENT THIS VOTING AGREEMENT is made and entered into as of this 14th day of January, 2013, by and among U-Swirl, Inc., a Nevada corporation (the “Company”), Henry Cartwright, an individual residin |
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| January 18, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2013 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53130 (Commission File Number) 43-2092180 (IRS Employ |
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| January 18, 2013 |
EXHIBIT 4.1 WARRANT ISSUED TO ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 AND IS NOT TRANSFERABLE U-Swirl, Inc. PURCHASE WARRANT Issued to: ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. Exercisable to Purchase 9,110,250 Shares of U-SWIRL, INC. Void after November 24, 2016 LEGAL25569796.1 This is to certify that, for value received and subje |
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| January 18, 2013 |
EXHIBIT 99.1 FORM OF RECOURSE NOTE FULL RECOURSE SECURED PROMISSORY NOTE $ Denver, Colorado Principal Sum January 14, 2013 FOR VALUE RECEIVED, U-Swirl, Inc., a Nevada corporation (“Maker”), whose address is 1175 American Pacific Suite C, Henderson, NV 89074, promises to pay to the order of Aspen Leaf Yogurt, LLC, a Colorado limited liability company (“Payee”), at Payee’s principal place of busines |
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| January 18, 2013 |
EXHIBIT 99.2 FORM OF NON-RECOURSE NOTES NON-RECOURSE SECURED PROMISSORY NOTE $100,000.00 Denver, Colorado Principal Sum January 14, 2013 FOR VALUE RECEIVED, U-Swirl, Inc., a Nevada corporation (“Maker”), whose address is 1175 American Pacific Suite C, Henderson, NV 89074, promises to pay to the order of Aspen Leaf Yogurt, LLC, a Colorado limited liability company (“Payee”), at Payee’s principal pl |
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| January 18, 2013 |
EXHIBIT 99.5 INVESTOR RIGHTS AGREEMENT BETWEEN U-SWIRL, INC. AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 INVESTOR RIGHTS AGREEMENT THIS INVESTOR RIGHTS AGREEMENT is made as of the 14th day of January, 2013, by and between U-Swirl, Inc., a Nevada corporation (the “Company”), and Aspen Leaf Yogurt, LLC, a Colorado limited liability company (the “Investor”). RECITALS WHEREAS, the Investor is pa |
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| January 18, 2013 |
EXHIBIT 99.4 INVESTOR RIGHTS AGREEMENT BETWEEN U-SWIRL, INC. AND ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. DATED JANUARY 14, 2013 INVESTOR RIGHTS AGREEMENT THIS INVESTOR RIGHTS AGREEMENT is made as of the 14th day of January, 2013, by and between U-Swirl, Inc., a Nevada corporation (the “Company”), and Rocky Mountain Chocolate Factory, Inc., a Colorado corporation (the “Investor”). RECITALS WHEREAS, |
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| January 18, 2013 |
U-Swirl, Inc. Acquires Aspen Leaf and Yogurtini Frozen Yogurt Chains Adds 46 locations! EXHIBIT 99.9 PRESS RELEASE DATED JANUARY 14, 2013 U-Swirl, Inc. Acquires Aspen Leaf and Yogurtini Frozen Yogurt Chains Adds 46 locations! HENDERSON, Nev.− (PR NEWSWIRE) – January 14, 2013 − U-Swirl, Inc. (OTCQB: SWRL), parent to U-SWIRL International, Inc., the owner and franchisor of U-SWIRL Frozen Yogurt® cafés, today announced that it has acquired specific assets of Aspen Leaf Yogurt, LLC, a su |
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| January 18, 2013 |
FORM OF EMPLOYMENT AGREEMENT BETWEEN U-SWIRL, INC. AND ITS EXECUTIVE OFFICERS EMPLOYMENT AGREEMENT EXHIBIT 99.7 FORM OF EMPLOYMENT AGREEMENT BETWEEN U-SWIRL, INC. AND ITS EXECUTIVE OFFICERS EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is entered into and effective this 14th day of January, 2013 (the “Effective Date”) between Ulderico Conte, an individual residing at (“Employee”); U-Swirl, Inc., a Nevada corporation, located at 1175 American Pacific Suite C, Henderson, Nevada 890 |
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| January 18, 2013 |
EXHIBIT 2.2 MEMBERSHIP INTEREST PURCHASE AGREEMENT BETWEEN U-SWIRL, INC. AND ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. DATED JANUARY 14, 2013 MEMBERSHIP INTEREST PURCHASE AGREEMENT This Membership Interest Purchase Agreement (this “Agreement”) is made and entered into as of January 14, 2013, by and between U-Swirl, Inc., a Nevada corporation (“Buyer”) and Rocky Mountain Chocolate Factory, Inc., a Col |
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| January 18, 2013 |
ASSET PURCHASE AGREEMENT BETWEEN U-SWIRL, INC. AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 EXHIBIT 2.1 ASSET PURCHASE AGREEMENT BETWEEN U-SWIRL, INC. AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 EXECUTION VERSION ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”) is made and entered into as of January 14, 2013, by and between U-Swirl, Inc., a Nevada corporation (“Buyer”), Aspen Leaf Yogurt, LLC, a Colorado limited liability company (“Seller”) and, solely for |
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| January 18, 2013 |
EXHIBIT 99.6 VOTING AGREEMENT AMONG U-SWIRL, INC., HENRY CARTWRIGHT, ULDERICO CONTE, TERRY CARTWRIGHT, ROCKY MOUNTAIN CHOCOLATE FACTORY, INC., AND ASPEN LEAF YOGURT, LLC DATED JANUARY 14, 2013 VOTING AGREEMENT THIS VOTING AGREEMENT is made and entered into as of this 14th day of January, 2013, by and among U-Swirl, Inc., a Nevada corporation (the “Company”), Henry Cartwright, an individual residin |
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| January 18, 2013 |
FORM OF SECURITY AGREEMENT BETWEEN U-SWIRL, INC. AND ASPEN LEAF YOGURT, LLC SECURITY AGREEMENT EXHIBIT 99.3 FORM OF SECURITY AGREEMENT BETWEEN U-SWIRL, INC. AND ASPEN LEAF YOGURT, LLC SECURITY AGREEMENT This Security Agreement is made as of January 14, 2013 by and between U-Swirl, Inc., a Nevada corporation (“Debtor”), and Aspen Leaf Yogurt, LLC, a Colorado limited liability company (“Secured Party”). Recitals A. Debtor and Secured Party have entered into an Asset Purchase Agreement (the “P |
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| November 14, 2012 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-164096 PROSPECTUS SUPPLEMENT NO. 2 DATED NOVEMBER 14, 2012 TO PROSPECTUS DATED JUNE 27, 2012 U-Swirl, Inc. 1,725,000 Shares of Common Stock This prospectus supplement supplements the Prospectus dated June 27, 2012 of U-Swirl, Inc. relating to the sale of up to 1,725,000 shares of the common stock of U-Swirl, Inc. upon the exercise of redeemable |
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| August 14, 2012 |
The accompanying notes are an integral part of these financial statements. Filed Pursuant to Rule 424(b)(3) Registration No. 333-164096 PROSPECTUS SUPPLEMENT NO. 1 DATED AUGUST 14, 2012 TO PROSPECTUS DATED JUNE 27, 2012 U-Swirl, Inc. 1,725,000 Shares of Common Stock This prospectus supplement supplements the Prospectus dated June 27, 2012 of U-Swirl, Inc. relating to the sale of up to 1,725,000 shares of the common stock of U-Swirl, Inc. upon the exercise of redeemable C |
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| June 28, 2012 |
PROSPECTUS 1,725,000 Shares of Common Stock U-Swirl, Inc. PROSPECTUS 1,725,000 Shares of Common Stock U-Swirl, Inc. This prospectus covers the sale of up to 1,725,000 shares of our common stock to be issued upon the exercise of redeemable Class C warrants issued in our public offering as a component of the units sold by us in the offering. Our public offering was completed on October 21, 2010. Holders of the Class C warrants issued as a component of the |
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| June 25, 2012 |
June 25, 2012 Justin Dobbie Legal Branch Chief Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| June 19, 2012 |
June 19, 2012 Justin Dobbie Legal Branch Chief Division of Corporation Finance Securities and Exchange Commission 100 F Street, N. |
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| June 19, 2012 |
- POST EFFECTIVE AMD 5 - U-SWIRL As filed June 19, 2012 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 5 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Industrial Classification Code |
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| May 23, 2012 |
- POST EFFECTIVE AMD 4 - U-SWIRL As filed May 23, 2012 File No. 333-164096 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 4 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 U-Swirl, Inc. (Exact name of registrant as specified in its charter) Nevada (State or jurisdiction of incorporation or organization) 5812 (Primary Standard Industrial Classification Code |
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| March 30, 2012 |
SWRL / U-Swirl, Inc. / CONTE ULDERICO - SCH 13D-AMD 1 CONTE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| March 29, 2012 |
SWRL / U-Swirl, Inc. / CARTWRIGHT TERRY A - SCH 13D-AMD 1 T CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| March 29, 2012 |
SWRL / U-Swirl, Inc. / CARTWRIGHT HENRY E - SCH 13D-AMD 1 H CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and C |
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| February 10, 2012 |
8-K 1 f8k-020812uswirl.htm FORM 8-K 2-8-12 U-SWIRL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2012 U-SWIRL, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-53 |
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| February 9, 2012 |
SWRL / U-Swirl, Inc. / PAULSON CAPITAL (DELAWARE) CORP. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* U-SWIRL, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P105 (CUSIP Number) Calendar Year 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 9, 2012 |
SCHEDULE 13G JOINT FILING AGREEMENT Exhibit 1 SCHEDULE 13G JOINT FILING AGREEMENT The undersigned and each other person executing this joint filing agreement (this “Agreement”) agree as follows: (i) The undersigned and each other person executing this Agreement are individually eligible to use the Schedule 13G in accordance with the Securities Exchange Act of 1934 and the regulations promulgated thereunder is attached and such sched |
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| January 5, 2012 |
SWRL / U-Swirl, Inc. / CARTWRIGHT TERRY A - SCHEDULE 13D TERRY CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Comm |
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| January 5, 2012 |
SWRL / U-Swirl, Inc. / CARTWRIGHT HENRY E - SCHEDULE 13D H CARTWRIGHT Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Comm |
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| January 5, 2012 |
SWRL / U-Swirl, Inc. / CONTE ULDERICO - SCHEDULE 13D CONTE Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* U-Swirl, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 90349P 105 (CUSIP Number) Fay M. Matsukage 455 Sherman Street, Suite 300 Denver, Colorado 80203 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Comm |
