SEC Form 4 · accession 0001209191-15-050970
Carroll Bancorp, Inc. · CROL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G Kohler
Director
Period of report
Jun 5, 2015
Accepted (ET)
Jun 8, 2015 · 3:51 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 | Jun 5, 2015 | X | 521 | $13.33 | A | 16,564 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| common stock warrants (right to buy)F1 | $13.33 | Jun 5, 2015 | X | 869 | D | Mar 26, 2014 | Mar 20, 2017 | common stock | 521 | 0 | D |
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.