PINX:SWRL U-Swirl Inc Insider Activity 4 Filing - 2/13/2012

Effective Date 2/13/2012

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

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(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
CARTWRIGHT TERRY A
  2. Issuer Name and Ticker or Trading Symbol
U-SWIRL, INC. [SWRL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Operating Officer
(Last)
(First)
(Middle)
1175 AMERICAN PACIFIC DRIVE, SUITE C
3. Date of Earliest Transaction (Month/Day/Year)
02/13/2012
(Street)

HENDERSON, NV 89074
4. If Amendment, Date 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
(City)
(State)
(Zip)
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               99,000 D  
Common Stock 02/13/2012   J(5)   5,000 A (5) 145,000 I By Gold Key Management Corp.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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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 Underlying Securities
(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 of Derivative Security: 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
Options (Right to Buy) $4.4               (2) 06/30/2012 Common Stock 31,250   31,250 D  
Class A Warrant (Right to Buy) $5.1             04/18/2008 03/19/2013 Common Stock 500   500 D  
Class B Warrant (Right to Buy) $10.2             04/18/2008 03/19/2013 Common Stock 1,000   1,000 D  
Class C Warrant (Right to Buy) $0.6               (1) 10/13/2015 Common Stock 12,500   12,500 D  
Options (Right to Buy) $0.42               (3) 05/16/2016 Common Stock 175,000   175,000 D  
Options (Right to Buy) $0.28               (4) 11/17/2016 Common Stock 59,000   59,000 D  

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
CARTWRIGHT TERRY A
1175 AMERICAN PACIFIC DRIVE, SUITE C
HENDERSON, NV 89074
      Chief Operating Officer  

Signatures

 Terry A. Cartwright   02/13/2012
** Signature of Reporting Person Date

Explanation of Responses:

* 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).
(1) Class C Warrants are exercisable after they become separately quotable and redeemable at $0.05 per warrant, upon 30 days' written notice, at any time after the date on which the closing price of the common stock has equaled or exceeded $0.80 for five consecutive trading days.
(2) All of the options vested as of March 1, 2009.
(3) Options were granted as compensation. 50% of options vest on 5/16/2012 and the remaining 50% of options vest on 5/16/2013.
(4) Options granted as compensation. 29,500 options vest on 11/17/2012 with the remaining 29,500 options vesting on 11/17/2013.
(5) Shares granted as compensation.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

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PINX:SWRL U-Swirl Inc Insider Activity 4 Filling

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PINX:SWRL U-Swirl Inc Insider Activity 4 Filing - 2/13/2012
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