Filing Details
- Accession Number:
- 0001354488-12-005118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-01 16:12:28
- Reporting Period:
- 2012-08-07
- Filing Date:
- 2012-10-01
- Accepted Time:
- 2012-10-01 16:12:28
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1414628 | Calpian Inc. | CLPI | Services-Business Services, Nec (7389) | 208592825 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1216792 | Q Laird Cagan | 20400 Stevens Creek Blvd Suite 700 Cupertino CA 95014 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2012-09-04 | 35,000 | $1.50 | 1,640,000 | Yes | 4 | S | Indirect | Wells Fargo Roth IRA Custodian for Laird Q. Cagan |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
Yes | 4 | S | Indirect | Wells Fargo Roth IRA Custodian for Laird Q. Cagan |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2012-08-07 | 71,233 | $0.00 | 71,233 | $2.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
571,233 | 2012-08-07 | 2017-08-07 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,200,000 | Indirect | Wells Fargo Roth IRA Custodian for Sherry Cagan |
Footnotes
- Grant of common stock warrants of the Issuer pursuant to a Note Modification Agreement.
- Cagan Capital, LLC is an entity owned and controlled by Laird Cagan.
- This includes warrants previously reported by Reporting Person.
- Mr. Cagan's IRA made a distribution of 35,000 shares to Mr. Cagan. This was an asset swap of equal value.
- Reporting person had a private sale of 35,000 shares at $1.50 per share.
- Sherry Cagan is the spouse of Reporting Person. Mrs. Cagan's IRA is joint property of, and beneficially held by, Reporting Person. Mrs. Cagan transferred 16,000 shares from her IRA to "The Cagan-Wolfenbarger Family Trust" which is beneficially held and jointly owned by Reporting Person. Mrs. Cagan has sole voting control over the IRA. The Cagan's share joint voting on The Family Trust.