SEC Form 4 · accession 0000905718-16-001311
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
Apr 11, 2016
Accepted (ET)
Apr 12, 2016 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001433269
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 11, 2016 | M | 400,000 | $0.14 | A | 4,539,835 | D | |
| Common Stock | Apr 11, 2016 | M | 121,951 | $0.82 | A | 4,661,786 | D |
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) | $0.14 | Apr 11, 2016 | M | 400,000 | D | Aug 20, 2010 | Aug 19, 2019 | Common Stock | 400,000 | 0 | D |
| Stock Option (right to buy) | $0.82 | Apr 11, 2016 | M | 121,951 | D | Jan 1, 2014 | Jun 27, 2021 | Common Stock | 121,951 | 49 | D |