Carroll Bancorp, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 36 rows, 36 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-09-28: Reporting owner Parker Nancy L.; Form 4; Security common stock warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-09-28: Reporting owner Parker Nancy L.; Form 4; Security common stock warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-07-07: Reporting owner Fleming Gilbert L.; Form 4; Security common stock warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-06-29: Reporting owner Barnes R. Wayne; Form 4; Security common stock warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-09-28 | Parker Nancy L. Director | 4 | common stock warrants (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −1 0 owned after | $13.33 exercise price | 2015-09-30 | |
| 2015-09-28 | Parker Nancy L. Director | 4 | common stock warrants (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1 0 owned after | $13.33 exercise price | 2015-09-30 | |
| 2015-07-07 | Fleming Gilbert L. Director | 4 | common stock warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −625 0 owned after | $13.33 exercise price | 2015-07-08 | |
| 2015-06-29 | Barnes R. Wayne Director | 4 | common stock warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,783 0 owned after | $13.33 exercise price | 2015-07-01 | |
| 2015-06-29 | Gallina Michael J. Officer (Chief Financial Officer) | 4 | common stock warrant (right to buy) Derivative · Indirect · by IRA | X Exercise of in-the-money or at-the-money derivative security | −1,114 0 owned after | $13.33 exercise price | 2015-07-01 | |
| 2015-06-22 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4 | common stock warrant (right to buy) Derivative · Indirect · by IRA | X Exercise of in-the-money or at-the-money derivative security | −3,164 0 owned after | $13.33 exercise price | 2015-06-24 | |
| 2015-06-19 | Haight Brian L. Director | 4 | common stock warrant (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,000 0 owned after | $13.33 exercise price | 2015-06-23 | |
| 2015-06-19 | Haight Brian L. Director | 4 | common stock warrant (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,329 0 owned after | $13.33 exercise price | 2015-06-23 | |
| 2015-06-11 | Brown C. Todd Director | 4/A | common stock warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,477 0 owned after | $13.33 exercise price | 2015-06-16 | |
| 2015-06-11 | Brown C. Todd Director | 4 | common stock warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,477 0 owned after | $13.33 exercise price | 2015-06-15 | |
| 2015-06-09 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4 | common stock warrant (right to buy) Derivative · Indirect · by children | X Exercise of in-the-money or at-the-money derivative security | −140 0 owned after | $13.33 exercise price | 2015-06-10 | |
| 2015-06-05 | Kohler James G Director | 4 | common stock warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −869 0 owned after | $13.33 exercise price | 2015-06-08 | |
| 2015-05-29 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4/A | common stock warrant (right to buy) Derivative · Indirect · by children | X Exercise of in-the-money or at-the-money derivative security | −16 0 owned after | $13.33 exercise price | 2015-06-02 | |
| 2015-05-29 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4 | common stock warrant (right to buy) Derivative · Indirect · by children | X Exercise of in-the-money or at-the-money derivative security | −16 0 owned after | $13.33 exercise price | 2015-06-02 | |
| 2015-05-26 | Peck George William Jr. Officer (EVP - Chief Lending Officer) | 4 | common stock warrants (right to buy) Derivative · Indirect · by IRA | X Exercise of in-the-money or at-the-money derivative security | −626 0 owned after | $13.33 exercise price | 2015-06-02 | |
| 2015-05-26 | Parker Nancy L. Director | 4 | common stock warrants (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,784 1 owned after | $13.33 exercise price | 2015-05-29 | |
| 2015-05-26 | Parker Nancy L. Director | 4 | common stock warrants (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −772 1 owned after | $13.33 exercise price | 2015-05-29 | |
| 2015-05-22 | Burke Thomas L Director | 4 | common stock warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,612 0 owned after | $13.33 exercise price | 2015-05-29 | |
| 2015-04-30 holding as of filing | Kohler James G Director | 3 | common stock warrants (right to buy) Derivative · Direct | Holding | $16.00 exercise price | 2015-04-30 | ||
| 2015-01-29 holding as of filing | Renbaum Barry J Director | 3 | common stock warrants (right to buy) Derivative · Indirect · by son | Holding | $16.00 exercise price | 2015-01-29 | ||
| 2015-01-29 holding as of filing | Renbaum Barry J Director | 3 | common stock warrants (right to buy) Derivative · Indirect · by son | Holding | $16.00 exercise price | 2015-01-29 | ||
| 2014-10-27 holding as of filing | Burke Thomas L Director | 3 | common stock warrants (right to buy) Derivative · Direct | Holding | $16.00 exercise price | 2014-10-27 | ||
| 2014-03-26 | Brown C. Todd Director | 4/A | common stock warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,477 3,477 owned after | $16.00 exercise price | 2014-12-19 | |
| 2014-03-26 | Barnes R. Wayne Director | 4/A | common stock warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,817 5,817 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Parker Nancy L. Director | 4/A | common stock warrants (right to buy) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +2,786 2,786 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Parker Nancy L. Director | 4/A | common stock warrants (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +773 773 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Fleming Gilbert L. Director | 4/A | common stock warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +625 625 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Haight Brian L. Director | 4/A | common stock warrant (right to but) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Haight Brian L. Director | 4/A | common stock warrant (right to but) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +2,350 2,350 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Brown C. Todd Director | 4/A | common stock warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −3,477 3,477 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Peck George William Jr. Officer (EVP - Chief Lending Officer) | 4/A | common stock warrants (right to buy) Derivative · Indirect · By IRA | P Open market or private purchase of non-derivative or derivative security | +626 626 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Frederick Donna M. Officer (EVP - Retail Banking and Consu) | 4/A | common stock warrants (right to buy) Derivative · Indirect · By IRA | P Open market or private purchase of non-derivative or derivative security | +583 583 owned after | $16.00 exercise price | 2014-12-11 | |
| 2014-03-26 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4/A | common stock warrants (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +3,169 3,169 owned after | $16.00 exercise price | 2014-12-10 | |
| 2014-03-26 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4/A | common stock warrants (right to buy) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +140 140 owned after | $16.00 exercise price | 2014-12-10 | |
| 2014-03-26 | Grimes Russell J. Director, Officer (Chief Executive Officer) | 4/A | common stock warrants (right to buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +16 16 owned after | $16.00 exercise price | 2014-12-10 | |
| 2014-03-26 | Gallina Michael J. Officer (Chief Financial Officer) | 4/A | common stock warrants (right to buy) Derivative · Indirect · IRA | P Open market or private purchase of non-derivative or derivative security | +1,117 1,117 owned after | $16.00 exercise price | 2014-12-10 |