Filing Details
- Accession Number:
- 0001181431-14-038505
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-12-10 16:37:11
- Reporting Period:
- 2014-03-26
- Filing Date:
- 2014-12-10
- Accepted Time:
- 2014-12-10 16:37:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1528250 | J. Russell Grimes | 1321 Liberty Road Sykesville MD 21784 | Chief Executive Officer | Yes | 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 | 3,169 | $16.00 | 11,369 | No | 4 | P | Indirect | By IRA |
| Common Stock | Acquisiton | 2014-03-26 | 140 | $16.00 | 3,240 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-03-26 | 16 | $16.00 | 66 | No | 4 | P | Indirect | By children |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By IRA |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By children |
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 | 3,169 | $0.00 | 1,584 | $16.00 |
| Common Stock | common stock warrants (right to buy) | Acquisiton | 2014-03-26 | 140 | $0.00 | 70 | $16.00 |
| Common Stock | common stock warrants (right to buy) | Acquisiton | 2014-03-26 | 16 | $0.00 | 8 | $16.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,169 | 2014-03-26 | 2017-03-20 | No | 4 | P | Indirect |
| 140 | 2014-03-26 | 2017-03-20 | No | 4 | P | Direct |
| 16 | 2014-03-26 | 2017-03-20 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,396 | Indirect | By spouse |
| Common Stock | 3,999 | Indirect | As trustee |
| Common Stock | 705 | Indirect | By ESOP |
Footnotes
- The reported securities are included within the 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 share of common stock.
- Represents unallocated ESOP shares as a percentage of shares allocated to trustee.
- Shares of stock allocated by the ESOP
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