4//SEC Filing
Carroll Kenneth 4
Accession 0001181431-13-008280
CIK 0001433269other
Filed
Feb 10, 7:00 PM ET
Accepted
Feb 11, 4:04 PM ET
Size
18.6 KB
Accession
0001181431-13-008280
Insider Transaction Report
Form 4
Carroll Kenneth
10% Owner
Transactions
- Sale
Common stock
2013-02-01$4.52/sh−1,550$7,005→ 2,520,462 total(indirect: By LLC) - Sale
Common stock
2013-02-08$4.50/sh−6,097$27,416→ 2,500,544 total(indirect: By LLC) - Sale
Common stock
2013-02-08$4.47/sh−3,064$13,698→ 2,506,641 total(indirect: By LLC) - Sale
Common stock
2013-01-22$4.60/sh−12,763$58,720→ 3,103,359 total(indirect: By LLC)
Holdings
- 600,000(indirect: By Trust)
Common stock
- 600,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
- 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
2013-01-22$4.60/sh−12,763$58,720→ 3,103,359 total(indirect: By LLC) - Sale
Common stock
2013-02-01$4.52/sh−1,550$7,005→ 2,520,462 total(indirect: By LLC) - Sale
Common stock
2013-02-08$4.47/sh−3,064$13,698→ 2,506,641 total(indirect: By LLC) - Sale
Common stock
2013-02-08$4.50/sh−6,097$27,416→ 2,500,544 total(indirect: By LLC)
Holdings
- 600,000(indirect: By Trust)
Common stock
- 600,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
- 600,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
- 600,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
- 1,000,000(indirect: By Trust)
Common stock
Footnotes (7)
- [F1]Based on an exchange rate of NZD to USD of 0.8381.
- [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]By Kenneth Carroll, Trustee, the Elizabeth Carroll 2012 Descendants Trust
- [F5]Based on an exchange rate of NZD to USD of $0.8369.
- [F6]Based on an exchange rate of NZD to USD of $0.8279.
- [F7]Based on an exchange rate of NZD to USD of $0.8327. This Form 4 is being filed late with respect to the sale by Carroll Capital Holdings LLC of 12,763 shares of common stock on January 22, 2013 and 1,550 shares of common stock on February 1, 2013.
Documents
Issuer
Diligent Board Member Services, Inc.
CIK 0001433269
Entity typeother
Related Parties
1- filerCIK 0001567186
Filing Metadata
- Form type
- 4
- Filed
- Feb 10, 7:00 PM ET
- Accepted
- Feb 11, 4:04 PM ET
- Size
- 18.6 KB