5//SEC Filing
Montgomery Harold 5
Accession 0001354488-13-000680
CIK 0001414628other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 4:54 PM ET
Size
13.0 KB
Accession
0001354488-13-000680
Insider Transaction Report
Form 5
Calpian, Inc.CLPI
Montgomery Harold
DirectorChief Executive Officer10% Owner
Transactions
- Gift
Common Stock
2012-12-27−100,000→ 1,090,000 total
Holdings
- 150,000(indirect: Montgomery Investments, LP)
Common Stock
- 100,000(indirect: By Trust)
Common Stock
- 3,810,000(indirect: By IRA)
Common Stock
- 47,242(indirect: By Trust)
Common Stock
- 47,242(indirect: By Trust)
Common Stock
- 22,500(indirect: by closely held corporation)
Common Stock Warrant (Right to Buy)
Exercise: $2.00From: 2012-03-09Exp: 2017-03-09→ Common Stock (22,500 underlying) - 28,603(indirect: by closely held corporation)
Common Stock Warrant (Right to Buy)
Exercise: $2.00From: 2012-08-07Exp: 2017-08-07→ Common Stock (6,103 underlying)
Footnotes (6)
- [F1]Reporting person made a gift of 100,000 shares of common stock. No consideration was received.
- [F2]Reporting Person is a limited partner in the Montgomery Investments, LP. The general partner of Montgomery Investments, LP is a member of the Reporting Persons 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 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.
- [F5]A corporation in which Reporting Person owns a 25% equity interest and shares investment control, purchased a $150,000 Secured Note and received a 5 year warrant for 22,500 Common Stock Warrants exerciseable at $2.00 each.
- [F6]A corporation in which Reporting Person owns a 25% equity interest and shares investment control, received a 5 year warrant for 6,103 common stock warrants exerciseable at $2.00 each, pursuant to a Note Modification on Secured Note.
Documents
Issuer
Calpian, Inc.
CIK 0001414628
Entity typeother
Related Parties
1- filerCIK 0001497714
Filing Metadata
- Form type
- 5
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 4:54 PM ET
- Size
- 13.0 KB