Diligent Corp Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-04-14: Reporting owner Carroll Kenneth; Form 4; Security Series A Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-04-14: Reporting owner West Broadway Advisors, L.L.C. | SPRING STREET PARTNERS LP; Form 4; Security Series A Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-02-12: Reporting owner SPRING STREET PARTNERS LP | West Broadway Advisors, L.L.C.; Form 4; Security Series A Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2015-12-23: Reporting owner Carroll Capital Holdings LLC | Carroll Kenneth; Form 4; Security Series A Convertible Preferred Stock; Transaction G Bona fide gift.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-04-14 | Carroll Kenneth 10% Owner | 4 | Series A Preferred Stock Non-derivative · Indirect · By Greenwood Investments LLC | J Other acquisition or disposition (describe transaction) | −10,000,000 0 owned after | no price filed | 2016-04-18 | |
| 2016-04-14 | West Broadway Advisors, L.L.C. | SPRING STREET PARTNERS LP 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −20,000,000 0 owned after | $4.90 | 2016-04-15 | |
| 2016-02-12 | SPRING STREET PARTNERS LP | West Broadway Advisors, L.L.C. Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −0 20,000,000 owned after | no price filed | 2016-02-18 | |
| 2015-12-23 | Carroll Capital Holdings LLC | Carroll Kenneth 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Carroll Capital Holdings, LLC | G Bona fide gift | −10,000,000 0 owned after | no price filed | 2016-01-04 | |
| 2015-12-23 | Carroll Capital Holdings LLC | Carroll Kenneth 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Greenwood Investments LLC | G Bona fide gift | +10,000,000 10,000,000 owned after | no price filed | 2016-01-04 | |
| 2014-03-05 | Liptak David Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, L.P. | C Conversion of derivative security | −1,777,904 20,000,000 owned after | no price filed | 2014-03-07 | |
| 2014-03-05 | SPRING STREET PARTNERS LP | West Broadway Advisors, L.L.C. Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | +1,777,904 20,000,000 owned after | no price filed | 2014-03-07 | |
| 2014-03-03 | Carroll Capital Holdings LLC | Carroll Kenneth 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Carroll Capital Holdings LLC | C Conversion of derivative security | −889,219 10,000,000 owned after | $0.00 | 2014-03-05 | |
| 2013-02-14 holding as of filing | West Broadway Advisors, L.L.C. 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | no price filed | 2013-02-14 | ||
| 2013-02-14 holding as of filing | West Broadway Advisors, L.L.C. 10% Owner | 5 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 21,777,904 owned after | no price filed | 2013-02-14 | |
| 2013-02-14 holding as of filing | SPRING STREET PARTNERS LP Director, 10% Owner | 5 | Series A Preferred Stock Derivative · Direct | Holding | 21,777,904 owned after | no price filed | 2013-02-14 | |
| 2013-02-14 holding as of filing | Liptak David Director, 10% Owner | 5 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 21,777,904 owned after | no price filed | 2013-02-14 | |
| 2011-01-01 | Spring Street Partners, Inc. Other (Former 10% Owner) | 5 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | S Open market or private sale of non-derivative or derivative security | −21,777,904 0 owned after | no price filed | 2013-02-14 | |
| 2010-02-17 holding as of filing | Liptak David Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2010-02-17 | |
| 2010-02-17 holding as of filing | Spring Street Partners, Inc. 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2010-02-17 | |
| 2010-02-17 holding as of filing | SPRING STREET PARTNERS LP Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | Holding | 20,000,000 owned after | no price filed | 2010-02-17 | |
| 2010-02-16 holding as of filing | Carroll Capital Holdings LLC 10% Owner | 5 | Series A Preferred Stock Derivative · Direct | Holding | 10,889,219 owned after | no price filed | 2010-02-16 | |
| 2009-10-19 holding as of filing | Liptak David Director, 10% Owner | 4/A | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-10-19 | |
| 2009-09-29 holding as of filing | Liptak David Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-09-29 | |
| 2009-09-29 holding as of filing | Spring Street Partners, Inc. 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-09-29 | |
| 2009-09-29 holding as of filing | SPRING STREET PARTNERS LP Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | Holding | 20,000,000 owned after | no price filed | 2009-09-29 | |
| 2009-04-03 holding as of filing | Carroll Capital Holdings LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | Holding | 10,000,000 owned after | no price filed | 2009-04-03 | |
| 2009-04-02 holding as of filing | Liptak David Director, 10% Owner | 4/A | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-04-02 | |
| 2009-04-01 holding as of filing | SPRING STREET PARTNERS LP Director | 4 | Series A Preferred Stock Derivative · Direct | Holding | 20,000,000 owned after | no price filed | 2009-04-01 | |
| 2009-04-01 holding as of filing | Spring Street Partners, Inc. 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-04-01 | |
| 2009-04-01 holding as of filing | Liptak David 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, LP | Holding | 20,000,000 owned after | no price filed | 2009-04-01 | |
| 2009-03-23 holding as of filing | Liptak David 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, L.P. | Holding | no price filed | 2009-03-23 | ||
| 2009-03-23 holding as of filing | Spring Street Partners, Inc. 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Through Spring Street Partners, L.P. | Holding | no price filed | 2009-03-23 | ||
| 2009-03-23 holding as of filing | SPRING STREET PARTNERS LP 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2009-03-23 | ||
| 2009-03-11 | Carroll Capital Holdings LLC 10% Owner | 4 | Series A Preferred Stock Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000,000 10,000,000 owned after | $0.10 | 2009-03-13 |