4//SEC Filing
Carroll Kenneth 4
Accession 0001181431-13-006317
CIK 0001433269other
Filed
Feb 3, 7:00 PM ET
Accepted
Feb 4, 2:55 PM ET
Size
12.3 KB
Accession
0001181431-13-006317
Insider Transaction Report
Form 4
Carroll Kenneth
10% Owner
Transactions
- Sale
Common Stock
2013-02-01$4.56/sh−3,425$15,628→ 2,531,350 total(indirect: By LLC) - Sale
Common Stock
2013-02-04$4.56/sh−5,287$24,106→ 2,526,063 total(indirect: By LLC)
Holdings
- 1,000,000(indirect: By Trust)
Common Stock
- 1,000,000(indirect: By Trust)
Common Stock
- 600,000(indirect: By Trust)
Common Stock
- 600,000(indirect: By Trust)
Common Stock
Carroll Capital Holdings LLC
10% Owner
Transactions
- Sale
Common Stock
2013-02-04$4.56/sh−5,287$24,106→ 2,526,063 total(indirect: By LLC) - Sale
Common Stock
2013-02-01$4.56/sh−3,425$15,628→ 2,531,350 total(indirect: By LLC)
Holdings
- 1,000,000(indirect: By Trust)
Common Stock
- 1,000,000(indirect: By Trust)
Common Stock
- 600,000(indirect: By Trust)
Common Stock
- 600,000(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]Based on an exchange rate of .NZD to USD of $0.845.
- [F2]The shares are held by Carroll Capital Holdings, LLC. Mr. Carroll has sole voting and dispositive power of the shares owned by Carroll Capital Holdings and as such may be deemed to indirectly beneficially own the shares owned by Carroll Capital Holdings, LLC.
- [F3]As the spouse of Elizabeth Carroll who is the trustee of the Kenneth Carroll 2012 Family Trust, Mr. Carroll may be deemed to indirectly beneficially own the 1,000,000 shares held by the Kenneth Carroll 2012 Family Trust. This filing shall not be deemed an admission that Mr. Carroll is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose and Mr. Carroll disclaims beneficial ownership of all such shares except to the extent of any pecuniary interest therein.
- [F4]As the trustee of the Elizabeth Carroll 2012 Descendants Trust, Mr. Carroll may be deemed to indirectly beneficially own the 600,000 shares held by the Elizabeth Carroll 2012 Descendants Trust. This filing shall not be deemed an admission that Mr. Carroll is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, and Mr. Carroll disclaims beneficial ownership of all such shares except to the extent of any pecuniary interest therein.
- [F5]Based on an exchange rate of .NZD to USD of $0.8423.
Documents
Issuer
Diligent Board Member Services, Inc.
CIK 0001433269
Entity typeother
Related Parties
1- filerCIK 0001567186
Filing Metadata
- Form type
- 4
- Filed
- Feb 3, 7:00 PM ET
- Accepted
- Feb 4, 2:55 PM ET
- Size
- 12.3 KB