Diligent Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows, 46 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-04-14: Reporting owner Stanton Michael James; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-04-14: Reporting owner Sodi Alessandro; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-04-14: Reporting owner Sodi Alessandro; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-04-14: Reporting owner Flickman Michael; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-04-14 | Stanton Michael James Officer (Chief Financial Officer/EVP) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −240,000 0 owned after | $1.80 | 2016-04-18 | |
| 2016-04-14 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −800,000 0 owned after | $2.11 | 2016-04-18 | |
| 2016-04-14 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −49 0 owned after | $0.82 exercise price | 2016-04-18 | |
| 2016-04-14 | Flickman Michael Officer (EVP & Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −136,667 0 owned after | $1.06 | 2016-04-18 | |
| 2016-04-14 | Flickman Michael Officer (EVP & Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $2.45 exercise price | 2016-04-18 | |
| 2016-04-14 | Hilk Jeffrey Officer (Chief Customer Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −106,667 0 owned after | $1.06 | 2016-04-18 | |
| 2016-04-14 | Hilk Jeffrey Officer (Chief Customer Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $2.45 exercise price | 2016-04-18 | |
| 2016-04-14 | Tartaro Thomas N. Officer (Exec VP, GC and Corp. Sec.) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −146,667 0 owned after | $1.06 | 2016-04-18 | |
| 2016-04-14 | Sanchez Alexander Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $1.06 | 2016-04-18 | |
| 2016-04-14 | Sanchez Alexander Officer (Chief Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $0.98 | 2016-04-18 | |
| 2016-04-14 | Petersen Greg Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,000 0 owned after | $1.11 | 2016-04-18 | |
| 2016-04-11 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400,000 0 owned after | $0.14 exercise price | 2016-04-12 | |
| 2016-04-11 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −121,951 49 owned after | $0.82 exercise price | 2016-04-12 | |
| 2015-12-30 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −128,000 122,000 owned after | $0.82 exercise price | 2015-12-31 | |
| 2015-11-13 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −400,000 400,000 owned after | $0.14 exercise price | 2015-11-16 | |
| 2015-11-13 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −250,000 250,000 owned after | $0.82 exercise price | 2015-11-16 | |
| 2015-11-13 | Sodi Alessandro Director, Officer (Founder/C. Prod. Strat. Off.) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −800,000 800,000 owned after | $2.79 exercise price | 2015-11-16 | |
| 2015-09-08 | Stanton Michael James Officer (Chief Financial Officer/EVP) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 240,000 owned after | $3.10 exercise price | 2015-09-10 | |
| 2014-09-15 | Petersen Greg Director, Officer (Executive Vice Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $3.79 exercise price | 2014-09-16 | |
| 2014-06-20 | Sanchez Alexander Officer (Interim CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.84 exercise price | 2014-06-24 | |
| 2014-06-20 | Tartaro Thomas N. Officer (EVP, GC and Corp. Sec.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +146,667 146,667 owned after | $3.84 exercise price | 2014-06-24 | |
| 2014-06-20 | Flickman Michael Officer (EVP & Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +136,667 136,667 owned after | $3.84 exercise price | 2014-06-24 | |
| 2014-06-20 | Hilk Jeffrey Officer (EVP and Dir. of Client Serv.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +106,667 106,667 owned after | $3.84 exercise price | 2014-06-24 | |
| 2014-05-29 holding as of filing | Sanchez Alexander Officer (Interim CFO) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $3.92 exercise price | 2014-05-29 | ||
| 2014-05-20 | Blandino Carl Douglas Other (Former Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −260,000 260,000 owned after | $6.12 exercise price | 2014-05-22 | |
| 2013-12-30 | Tartaro Thomas N. Officer (Exec VP, GC and Corp Sec.) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $6.44 exercise price | 2013-12-31 | |
| 2013-12-30 | Tartaro Thomas N. Officer (Exec VP, GC and Corp Sec.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $6.40 exercise price | 2013-12-31 | |
| 2013-12-30 | Blandino Carl Douglas Officer (Exec VP and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −260,000 0 owned after | $6.11 exercise price | 2013-12-31 | |
| 2013-12-30 | Blandino Carl Douglas Officer (Exec VP and CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +260,000 260,000 owned after | $6.12 exercise price | 2013-12-31 | |
| 2013-12-23 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,600,000 0 owned after | $0.14 exercise price | 2013-12-24 | |
| 2013-12-23 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,600,000 1,600,000 owned after | $2.79 exercise price | 2013-12-24 | |
| 2013-12-23 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,000,000 0 owned after | $0.82 exercise price | 2013-12-24 | |
| 2013-12-23 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.82 exercise price | 2013-12-24 | |
| 2013-06-24 | Blandino Carl Douglas Officer (Exec VP and CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +260,000 260,000 owned after | $6.11 exercise price | 2013-06-25 | |
| 2013-06-24 | Tartaro Thomas N. Officer (EVP, GC and Corp. Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $6.44 exercise price | 2013-06-25 | |
| 2012-09-10 | Ruse Steven P. Officer (EVP, CFO) | 4/A | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +750,000 0 owned after | $0.14 exercise price | 2013-04-29 | |
| 2012-09-10 | Ruse Steven P. Officer (CFO) | 4 | Stock option (right to buy 8/20/2009) Derivative · Direct | C Conversion of derivative security | −750,000 0 owned after | $0.14 exercise price | 2012-09-13 | |
| 2012-03-07 | Flickman Michael Officer (EVP & Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $2.45 exercise price | 2013-04-30 | |
| 2012-03-07 | Hilk Jeffrey Officer (Sr. VP/Dir. of Client Serv.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $2.45 exercise price | 2013-04-29 | |
| 2012-01-17 | Norton Robert E. Officer (EVP/General Counsel/Secretary) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 0 owned after | $0.16 exercise price | 2013-04-30 | |
| 2011-06-27 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 5,400,000 owned after | $0.82 exercise price | 2013-04-30 | |
| 2009-10-09 | Meisner Don Officer (Treasurer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.16 exercise price | 2013-04-30 | |
| 2009-10-09 | Norton Robert E. Officer (EVP/General Counsel/Secretary) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.16 exercise price | 2013-04-30 | |
| 2009-09-17 holding as of filing | Ruse Steven P. Officer (CFO) | 3 | Incentive Stock Option (8/20/2009) Derivative · Direct | Holding | $0.14 exercise price | 2009-09-17 | ||
| 2009-08-20 | Sodi Alessandro Director, Officer (CEO/President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,400,000 2,400,000 owned after | $0.14 exercise price | 2013-04-30 | |
| 2009-08-20 | Ruse Steven P. Officer (EVP, CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +750,000 750,000 owned after | $0.14 exercise price | 2013-04-29 |