SEC Form 4 · accession 0001437749-15-017822
Carroll Bancorp, Inc. · CROL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy L. Parker
Director
Period of report
Sep 28, 2015
Accepted (ET)
Sep 30, 2015 · 10:04 am 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 stock | Sep 28, 2015 | X | 1 | $13.33 | A | 4,063 | I | By IRA |
| common stock | holding | — | — | — | 18,563 | D | ||
| common stock | holding | — | — | — | 1,440 | I | By family members |
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) | $13.33 | Sep 28, 2015 | X | 1 | D | Mar 26, 2014 | Mar 20, 2017 | common stock | 0 | 0 | D |
| common stock warrants (right to buy) | $13.33 | Sep 28, 2015 | X | 1 | D | Mar 26, 2014 | Mar 20, 2017 | common stock | 1 | 0 | I |