SEC Form 4 · accession 0001209191-15-048839
Carroll Bancorp, Inc. · CROL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russell J. Grimes
Officer — Chief Executive Officer · Director
Period of report
May 29, 2015
Accepted (ET)
Jun 2, 2015 · 3:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001515069
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stockF1 | May 29, 2015 | X | 8 | $13.33 | A | 88 | I | by children |
| common stockF1 | holding | — | — | — | 8,765 | D | ||
| common stockF1 | holding | — | — | — | 1,676 | I | by spouse | |
| common stockF1,F2 | holding | — | — | — | 1,295 | I | by ESOP | |
| common stockF1,F3 | holding | — | — | — | 6,624 | I | as trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| common stock warrant (right to buy)F1 | $13.33 | May 29, 2015 | X | 16 | D | Mar 26, 2014 | Mar 20, 2017 | common stock | 8 | 0 | I |
Explanation of responses
- F1Exercise price and number of shares (including shares underlying the warrants) have been adjusted to reflect the issuer's 20% stock dividend paid on May 1, 2015.
- F2Shares of stock allocated from the ESOP.
- F3Represents unallocated ESOP shares as a percentage of shares allocated to a trustee.