4//SEC Filing
Montgomery Harold 4
Accession 0001354488-11-001790
CIK 0001414628other
Filed
May 31, 8:00 PM ET
Accepted
Jun 1, 8:46 PM ET
Size
14.8 KB
Accession
0001354488-11-001790
Insider Transaction Report
Form 4
Calpian, Inc.CLPI.OB
Montgomery Harold
DirectorChief Executive Officer10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2011-05-27−1,500→ 0 total(indirect: By Montgomery Investments, LP)Exercise: $1.00→ Common Stock (150,000 underlying) - Conversion
Series A Convertible Preferred Stock
2011-05-27−1,000→ 0 total(indirect: By Trust)Exercise: $1.00→ Common Stock (100,000 underlying) - Conversion
Common Stock
2011-05-27+150,000→ 150,000 total(indirect: Montgomery Investments, LP) - Conversion
Common Stock
2011-05-27+100,000→ 100,000 total(indirect: By Trust)
Holdings
- 47,242(indirect: By Trust)
Common Stock
- 1,190,000
Common Stock
- 3,810,000(indirect: By IRA)
Common Stock
Footnotes (4)
- [F1]Each share of Series A Convertible Preferred Stock automatically converted, subject to certain conditions, into 100 shares of common stock of the registrant on May 27, 2011, the one year anniversary of the filing of the Issuer's Form 10.
- [F2]Reporting Person is a limited partner in the Montgomery Investments, L.P. The general partner of Montgomery Investments, L.P. is a member of the Reporting Person's immediate family. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- [F3]Reporting Person is a co-trustee and remainderman of the Montgomery Non-Exempt Marital Trust, utd 01/01/07. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- [F4]The Molly Ann Montgomery 1995 Trust and Philip Graham Montgomery 1997 Trust are trusts for the benefit of Mr. Montgomery's children, for which Mr. Montgomery is trustee.
Documents
Issuer
Calpian, Inc.
CIK 0001414628
Entity typeother
Related Parties
1- filerCIK 0001497714
Filing Metadata
- Form type
- 4
- Filed
- May 31, 8:00 PM ET
- Accepted
- Jun 1, 8:46 PM ET
- Size
- 14.8 KB