Filing Details

Accession Number:
0001181431-14-038488
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2014-12-10 16:22:37
Reporting Period:
2014-03-26
Filing Date:
2014-12-10
Accepted Time:
2014-12-10 16:22:37
Original Submission Date:
2014-03-27
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1515069 Carroll Bancorp Inc. CROL State Commercial Banks (6022) 275463184
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1528278 J. Michael Gallina 1321 Liberty Road
Sykesville MD 21784
Chief Financial Officer No Yes No 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 Acquisiton 2014-03-26 1,117 $16.00 3,617 No 4 P Indirect IRA
Common Stock Acquisiton 2014-03-24 404 $0.00 1,618 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect IRA
No 4 A Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock common stock warrants (right to buy) Acquisiton 2014-03-26 1,117 $0.00 558 $16.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,117 2014-03-26 2017-03-20 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 375 Indirect By ESOP
Common Stock 2,127 Indirect As trustee
Footnotes
  1. The reported securities are included within the 1,117 Units purchased by the reporting person pursuant to the Issuer's public rights offering that expired on March 20, 2014. Each Unit consisted of one share of common stock and a warrant to purchase one-half of one share of common stock.
  2. Shares of restricted stock granted March 24, 2014 vest at a rate of 20% per year commencing on March 24, 2015
  3. Shares of stock allocated from the ESOP
  4. Represents unallocated ESOP shares as a percentage of shares allocated to a trustee