SEC Form 4 · accession 0000905718-15-000886
Diligent Corp · DIL.NZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alessandro Sodi
Officer — Founder/C. Prod. Strat. Off. · Director
Period of report
Nov 13, 2015
Accepted (ET)
Nov 16, 2015 · 3:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001433269
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $0.14 | Nov 13, 2015 | J | 400,000 | D | — | Aug 19, 2019 | Common Stock | 400,000 | 400,000 | D |
| Stock Option (right to buy)F1,F3 | $0.82 | Nov 13, 2015 | J | 250,000 | D | — | Jun 27, 2021 | Common Stock | 250,000 | 250,000 | D |
| Stock Option (right to buy)F1,F4 | $2.79 | Nov 13, 2015 | J | 800,000 | D | — | Dec 22, 2023 | Common Stock | 800,000 | 800,000 | D |
Explanation of responses
- F1Transferred by the Reporting Person to his spouse pursuant to a separation agreement as part of the comprehensive division of marital assets in conjunction with the Reporting Person's pending divorce.
- F2The options vested on August 20, 2010, pursuant to the terms of the grant agreement between the Issuer and the Reporting Person.
- F3378,049 options vested on June 28, 2013, and 121,951 options vested on January 1, 2014, pursuant to the terms of the grant agreement between the Issuer and the Reporting Person.
- F4The options vested on December 31, 2013, pursuant to the terms of the grant agreement between the Issuer and the Reporting Person.