Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CAROLINA FINANCIAL CORP
Report date May 01, 2020 · Filed May 05, 2020
Section 16 reporting ended · disclosed 2020-05-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2020-05-01 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2020-05-01 · Exercise / conversion · Acquired 4,449 · Balance 249,028 F2: In accordance with the Merger Agreement and at the election of the reporting person, these options were cancelled in the merger in exchange for a cash payment in the amount indicated, representing the difference between the exercise price of the option and $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement, net of shares withheld by the issuer at the direction of the reporting person to cover payment of the exercise price and tax liabilities incident to the vesting of the options in accordance with Rule 16b-3. With respect to the options having an exercise price of $16.56 and an expiration date of January 20, 2026, 4,449 shares were issued to the reporting person following the withholding of shares by the issuer to cover payment of the exercise price and tax liabilities incident to the vesting of the options. Row 2 · 2020-05-01 · Tax withholding · Disposed 4,276 · Balance 244,752 F5: Represents shares of restricted stock previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, 4,949 restricted shares were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted shares subject to the award, and 4,276 restricted shares were withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted shares in accordance with Rule 16b-3. Row 3 · 2020-05-01 · Disposition to issuer · Disposed 4,949 · Balance 239,803 F5: Represents shares of restricted stock previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, 4,949 restricted shares were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted shares subject to the award, and 4,276 restricted shares were withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted shares in accordance with Rule 16b-3. Row 4 · 2020-05-01 · Disposition to issuer · Disposed 239,803 · Balance 0 F1: Disposed of in accordance with the Agreement and Plan of Merger, dated as of November 17, 2019 (the "Merger Agreement"), by and between Carolina Financial Corporation and United Bancshares, Inc., pursuant to which Carolina Financial Corporation was merged with and into United Bancshares, Inc., effective May 1, 2020 (the "Merger"). On May 1, 2020, the effective date of the Merger, each issued and outstanding share of Carolina Financial Corporation common stock was converted into the right to receive 1.13 shares of United Bancshares, Inc. common stock (subject to the payment of cash in lieu of fractional shares) (the "Merger Consideration"). As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Carolina Financial Corporation common stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 0 |
Reported balance
After 2020-05-01 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2020-05-01 · Disposition to issuer · Disposed 11,040 · Balance 0 F1: Disposed of in accordance with the Agreement and Plan of Merger, dated as of November 17, 2019 (the "Merger Agreement"), by and between Carolina Financial Corporation and United Bancshares, Inc., pursuant to which Carolina Financial Corporation was merged with and into United Bancshares, Inc., effective May 1, 2020 (the "Merger"). On May 1, 2020, the effective date of the Merger, each issued and outstanding share of Carolina Financial Corporation common stock was converted into the right to receive 1.13 shares of United Bancshares, Inc. common stock (subject to the payment of cash in lieu of fractional shares) (the "Merger Consideration"). As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Carolina Financial Corporation common stock. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.17 · Expires 2023-04-25 | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-05-01 · Disposition to issuer · Disposed 78,902 · Balance 0 F2: In accordance with the Merger Agreement and at the election of the reporting person, these options were cancelled in the merger in exchange for a cash payment in the amount indicated, representing the difference between the exercise price of the option and $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement, net of shares withheld by the issuer at the direction of the reporting person to cover payment of the exercise price and tax liabilities incident to the vesting of the options in accordance with Rule 16b-3. With respect to the options having an exercise price of $16.56 and an expiration date of January 20, 2026, 4,449 shares were issued to the reporting person following the withholding of shares by the issuer to cover payment of the exercise price and tax liabilities incident to the vesting of the options. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.58 · Expires 2025-01-21 | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-05-01 · Disposition to issuer · Disposed 24,590 · Balance 0 F2: In accordance with the Merger Agreement and at the election of the reporting person, these options were cancelled in the merger in exchange for a cash payment in the amount indicated, representing the difference between the exercise price of the option and $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement, net of shares withheld by the issuer at the direction of the reporting person to cover payment of the exercise price and tax liabilities incident to the vesting of the options in accordance with Rule 16b-3. With respect to the options having an exercise price of $16.56 and an expiration date of January 20, 2026, 4,449 shares were issued to the reporting person following the withholding of shares by the issuer to cover payment of the exercise price and tax liabilities incident to the vesting of the options. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.56 · Expires 2026-01-20 | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-05-01 · Disposition to issuer · Disposed 16,613 · Balance 0 F2: In accordance with the Merger Agreement and at the election of the reporting person, these options were cancelled in the merger in exchange for a cash payment in the amount indicated, representing the difference between the exercise price of the option and $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement, net of shares withheld by the issuer at the direction of the reporting person to cover payment of the exercise price and tax liabilities incident to the vesting of the options in accordance with Rule 16b-3. With respect to the options having an exercise price of $16.56 and an expiration date of January 20, 2026, 4,449 shares were issued to the reporting person following the withholding of shares by the issuer to cover payment of the exercise price and tax liabilities incident to the vesting of the options. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.83 · Expires 2026-03-16 | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-05-01 · Disposition to issuer · Disposed 4,000 · Balance 0 F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each stock option not cashed out at the election of the reporting person, was converted into the right to acquire shares of United Bancshares, Inc. common stock, as adjusted to reflect the exchange ratio of 1.13. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $30.90 · Expires 2027-02-15 | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-05-01 · Disposition to issuer · Disposed 8,441 · Balance 0 F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each stock option not cashed out at the election of the reporting person, was converted into the right to acquire shares of United Bancshares, Inc. common stock, as adjusted to reflect the exchange ratio of 1.13. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-05-01 · Disposition to issuer · Disposed 4,960 · Balance 0 F4: Represents restricted stock units previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, these restricted stock units were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted stock units subject to the award, assuming performance achieved at the maximum level, net of shares withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted stock units in accordance with Rule 16b-3. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-05-01 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-05-01 · Disposition to issuer · Disposed 2,480 · Balance 0 F4: Represents restricted stock units previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, these restricted stock units were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted stock units subject to the award, assuming performance achieved at the maximum level, net of shares withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted stock units in accordance with Rule 16b-3. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of in accordance with the Agreement and Plan of Merger, dated as of November 17, 2019 (the "Merger Agreement"), by and between Carolina Financial Corporation and United Bancshares, Inc., pursuant to which Carolina Financial Corporation was merged with and into United Bancshares, Inc., effective May 1, 2020 (the "Merger"). On May 1, 2020, the effective date of the Merger, each issued and outstanding share of Carolina Financial Corporation common stock was converted into the right to receive 1.13 shares of United Bancshares, Inc. common stock (subject to the payment of cash in lieu of fractional shares) (the "Merger Consideration"). As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Carolina Financial Corporation common stock.
F2: In accordance with the Merger Agreement and at the election of the reporting person, these options were cancelled in the merger in exchange for a cash payment in the amount indicated, representing the difference between the exercise price of the option and $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement, net of shares withheld by the issuer at the direction of the reporting person to cover payment of the exercise price and tax liabilities incident to the vesting of the options in accordance with Rule 16b-3. With respect to the options having an exercise price of $16.56 and an expiration date of January 20, 2026, 4,449 shares were issued to the reporting person following the withholding of shares by the issuer to cover payment of the exercise price and tax liabilities incident to the vesting of the options.
F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each stock option not cashed out at the election of the reporting person, was converted into the right to acquire shares of United Bancshares, Inc. common stock, as adjusted to reflect the exchange ratio of 1.13.
F4: Represents restricted stock units previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, these restricted stock units were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted stock units subject to the award, assuming performance achieved at the maximum level, net of shares withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted stock units in accordance with Rule 16b-3.
F5: Represents shares of restricted stock previously granted to the reporting person. In accordance with the Merger Agreement and at the election of the reporting person, 4,949 restricted shares were cancelled in the merger in exchange for payment in cash equal to the product of (x) $28.99 per share, the market value of the underlying Carolina Financial Corporation common stock calculated in accordance with the provisions of the Merger Agreement and (y) the number of restricted shares subject to the award, and 4,276 restricted shares were withheld by the issuer at the direction of the reporting person to cover payment of tax liabilities incident to the vesting of the restricted shares in accordance with Rule 16b-3.
UNITED BANKSHARES INC/WV
Report date April 14, 2023 · Filed April 17, 2023
Section 16 reporting ended · disclosed 2023-04-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,705 |
Reported balance
Holding disclosure · report date 2023-04-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 124,705 |
| Common StockSEC Table I · non-derivative | IndirectBy 401k | 1,171.7624 |
Reported balance
Holding disclosure · report date 2023-04-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,171.7624 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 12,475 |
Reported balance
Holding disclosure · report date 2023-04-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 12,475 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $14.89 · Expires 2026-03-16 | Direct | 4,520 |
Reported balance
Holding disclosure · report date 2023-04-14 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 4,520 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $27.35 · Expires 2027-02-15 | Direct | 9,538 |
Reported balance
Holding disclosure · report date 2023-04-14 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 9,538 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 16, 2019 Filed Mar 18, 2019 15:12 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCOMMON STOCK | 464 | $36.31 | $16,847.84 |
DisclosureSEC source: 0000870385-19-000014 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,347 Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 15:12 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GiftCOMMON STOCK | 1,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-19-000014 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,811 Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 12:42 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionRestricted Stock Units · Derivative | 2,751 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-19-000008 · primary_doc.xml · derivative · entry 5 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,751 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. F1 · shares: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. F1 · derivative.exercise_date: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. F1 · derivative.expiration_date: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. F1 · derivative.underlying_shares: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 12:42 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 2,042 | $36.15 | $73,818.30 |
DisclosureSEC source: 0000870385-19-000008 · primary_doc.xml · nonDerivative · entry 3 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,611 F2 · shares: These shares include shares sold to cover tax withholdings on the vesting of restricted stock units from February 2017, the vesting of restricted stock from February 2017, and the grant of a stock bonus in February 2019. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 12:42 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCommon Stock | 747 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-19-000008 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,653 Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 12:42 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionCommon Stock | 2,751 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000870385-19-000008 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,906 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. F1 · price: These shares were issued upon the vesting of restricted stock units from February 2017, which converted into common stock on a one-for-one basis. Read SEC document |
| January 24, 2019 Filed Jan 25, 2019 16:54 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 510 | $33.87 | $17,273.70 |
DisclosureSEC source: 0000870385-19-000002 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,155 Read SEC document |
| January 23, 2019 Filed Jan 25, 2019 16:54 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantRestricted Stock Units · Derivative | 4,960 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-19-000002 · primary_doc.xml · derivative · entry 4 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,960 Underlying: Common Stock · 4,960 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2020, subject to certain conditions related to the CARO's operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted operating EPS, as defined, over the two-year period ending December 31, 2020. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted operating EPS threshold, 100% of the restricted stock units upon achieving the target CARO diluted operating EPS threshold, and 150% of the restricted stock units upon achieving a certain diluted operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2021. F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2020, subject to certain conditions related to the CARO's operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted operating EPS, as defined, over the two-year period ending December 31, 2020. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted operating EPS threshold, 100% of the restricted stock units upon achieving the target CARO diluted operating EPS threshold, and 150% of the restricted stock units upon achieving a certain diluted operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2021. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2020, subject to certain conditions related to the CARO's operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted operating EPS, as defined, over the two-year period ending December 31, 2020. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted operating EPS threshold, 100% of the restricted stock units upon achieving the target CARO diluted operating EPS threshold, and 150% of the restricted stock units upon achieving a certain diluted operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2021. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2020, subject to certain conditions related to the CARO's operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted operating EPS, as defined, over the two-year period ending December 31, 2020. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted operating EPS threshold, 100% of the restricted stock units upon achieving the target CARO diluted operating EPS threshold, and 150% of the restricted stock units upon achieving a certain diluted operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2021. F1 · derivative.underlying_shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2020, subject to certain conditions related to the CARO's operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted operating EPS, as defined, over the two-year period ending December 31, 2020. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted operating EPS threshold, 100% of the restricted stock units upon achieving the target CARO diluted operating EPS threshold, and 150% of the restricted stock units upon achieving a certain diluted operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2021. Read SEC document |
| January 23, 2019 Filed Jan 25, 2019 16:54 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCommon Stock | 4,960 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-19-000002 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,665 Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 17:12 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | SaleCommon Stock | 48,600 | $42.25 | $2,053,350.00 |
DisclosureSEC source: 0000870385-18-000003 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · PRESIDENT & CHIEF EXECUTIVE OF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,705 F1 · balance_after: The total amount of shares beneficially owned has been adjusted to correct prior immaterial computational errors. Read SEC document |
| March 16, 2018 Filed Mar 16, 2018 12:04 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 440 | $41.58 | $18,295.20 |
DisclosureSEC source: 0001189784-18-000002 · primary_doc.xml · nonDerivative · entry 3 REXROAD JERRY L · CIK 0001189784 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,295 Read SEC document |
| February 15, 2018 Filed Mar 16, 2018 12:04 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 425 | $39.66 | $16,855.50 |
DisclosureSEC source: 0001189784-18-000002 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,735 Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantRestricted Stock Units · Derivative | 4,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · derivative · entry 7 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,929 Underlying: Common Stock · 4,178 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2019, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2019. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2020. F2 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2019, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2019. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2020. F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2019, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2019. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2020. F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2019, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2019. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2020. F2 · derivative.underlying_shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2019, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2019. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2020. Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionRestricted Stock Units · Derivative | 2,799 | $0.00 | $0.00 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · derivative · entry 6 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,751 Underlying: Common Stock · 2,799 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares were issued upon the vesting of restricted stock units from January 2016. F1 · shares: These shares were issued upon the vesting of restricted stock units from January 2016. F1 · derivative.exercise_date: These shares were issued upon the vesting of restricted stock units from January 2016. F1 · derivative.expiration_date: These shares were issued upon the vesting of restricted stock units from January 2016. F1 · derivative.underlying_shares: These shares were issued upon the vesting of restricted stock units from January 2016. Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCommon Stock | 4,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · nonDerivative · entry 4 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,486 Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCommon Stock | 638 | $0.00 | $0.00 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · nonDerivative · entry 3 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,308 Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 1,272 | $38.77 | $49,315.44 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,670 Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 14:43 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionCommon Stock | 2,799 | $0.00 | $0.00 |
DisclosureSEC source: 0001189784-18-000001 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President & Chief Executive Of 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,942 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These shares were issued upon the vesting of restricted stock units from January 2016. Read SEC document |
| January 23, 2018 Filed Jan 23, 2018 16:57 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 989 | $39.07 | $38,640.23 |
DisclosureSEC source: 0001667437-18-000002 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,143 Read SEC document |
| January 21, 2018 Filed Mar 16, 2018 12:04 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 1,326 | $39.07 | $51,806.82 |
DisclosureSEC source: 0001189784-18-000002 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,160 Read SEC document |
| September 05, 2017 Filed Sep 19, 2017 16:10 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GiftCOMMON STOCK | 4,000 | $34.01 | $136,040.00 |
DisclosureSEC source: 0000870385-17-000039 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · PRESIDENT & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,132 Read SEC document |
| April 25, 2017 Filed Apr 25, 2017 15:51 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCommon Stock | 9,432 | $29.77 | $280,790.64 |
DisclosureSEC source: 0000870385-17-000025 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,132 Read SEC document |
| March 16, 2017 Filed Mar 16, 2017 13:51 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | SaleCOMMON STOCK | 442 | $30.27 | $13,379.34 |
DisclosureSEC source: 0000870385-17-000019 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,564 Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 14:23 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantRESTRICTED STOCK UNITS · Derivative | 2,751 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-17-000014 · primary_doc.xml · derivative · entry 5 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,751 Underlying: COMMON STOCK · 2,751 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. F2 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. F2 · derivative.underlying_shares: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. F2 · balance_after: Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units vest in one installment on December 31, 2018, subject to certain conditions related to the CARO's pretax operating EPS, as defined in the award. In order to vest any portion of the restricted stock units, CARO must achieve certain diluted pretax operating EPS, as defined, over the two-year period ending December 31, 2018. The participant can earn 50% of the restricted stock units upon CARO achieving a minimum diluted pretax operating EPS threshold, and 100% of the restricted stock units upon achieving the target CARO diluted pretax operating EPS threshold. Vested shares, if any, will be delivered to the reporting person by March 31, 2019. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 14:23 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative | 8,441 | $0.00 Strike: $30.90 | $0.00 |
DisclosureSEC source: 0000870385-17-000014 · primary_doc.xml · derivative · entry 4 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,441 Underlying: COMMON STOCK · 8,441 shares Expires 2027-02-15 F1 · derivative.exercise_date: The stock option vests in three equal annual installments beginning on February 15, 2018. Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 14:23 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCOMMON STOCK | 2,751 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-17-000014 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,006 Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 14:23 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | GrantCOMMON STOCK | 750 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-17-000014 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,255 Read SEC document |
| January 21, 2017 Filed Jan 23, 2017 16:45 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 4,320 | $29.25 Strike: $29.25 | $126,360.00 |
DisclosureSEC source: 0000870385-17-000001 · primary_doc.xml · derivative · entry 6 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,285 Underlying: COMMON STOCK · 4,320 shares Expires 2017-01-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.underlying_shares: These shares were issued upon the vesting of Restricted Stock Units from January 2015. On July 31, 2015, the Company paid a 20% stock dividend which has been accounted for in the total shares held on this Section 16 form. Read SEC document |
| January 21, 2017 Filed Jan 23, 2017 16:45 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCOMMON STOCK | 1,367 | $29.25 | $39,984.75 |
DisclosureSEC source: 0000870385-17-000001 · primary_doc.xml · nonDerivative · entry 4 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,505 Read SEC document |
| January 21, 2017 Filed Jan 23, 2017 16:45 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCOMMON STOCK | 2,035 | $29.25 | $59,523.75 |
DisclosureSEC source: 0000870385-17-000001 · primary_doc.xml · nonDerivative · entry 3 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,872 Read SEC document |
| January 21, 2017 Filed Jan 23, 2017 16:45 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Exercise / conversionCOMMON STOCK | 4,320 | $0.00 | $0.00 |
DisclosureSEC source: 0000870385-17-000001 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,907 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: These shares were issued upon the vesting of Restricted Stock Units from January 2015. On July 31, 2015, the Company paid a 20% stock dividend which has been accounted for in the total shares held on this Section 16 form. Read SEC document |
| January 20, 2017 Filed Jan 23, 2017 16:45 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | Tax withholdingCOMMON STOCK | 1,013 | $28.36 | $28,728.68 |
DisclosureSEC source: 0000870385-17-000001 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · PRES & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,587 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 17:03 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | SaleCOMMON STOCK | 1,001.35 | $25.40 | $25,434.29 |
DisclosureSEC source: 0000870385-16-000058 · primary_doc.xml · nonDerivative · entry 2 REXROAD JERRY L · CIK 0001189784 · Director · President and Chief Executive 10b5-1 filing: Not disclosed Ownership: Indirect · BY DAUGHTER Disclosed balance after: 0 F3 · kind: THIS TRANSACTION WAS MATCHABLE UNDER SECTION 16(B) OF THE SECURITIES EXCHANGE ACT OF 1934, TO THE EXTENT OF 1.35 SHARES, WITH THE REPORTING PERSONS ACQUISITION OF 1.35 SHARES AT A PRICE OF $22.21 ON OCTOBER 14, 2016. THE REPORTING PERSON HAS PAID $4.31 TO THE ISSUER, REPRESENTING THE FULL AMOUNT OF THE PROFIT REALIZED IN CONNECTION WITH THE SHORT-SWING TRANSACTION. F4 · ownership.direct: IN ADDITION, THE REPORTING PERSON NO LONGER HAS A REPORTABLE BENEFICIAL INTEREST IN THE 1,000 SHARES THAT WERE OWNED BY THE REPORTING PERSONS OTHER DAUGHTER AND INCLUDED IN THE REPORTING PERSONS PRIOR OWNERSHIP REPORTS. Read SEC document |
| October 14, 2016 Filed Nov 14, 2016 17:03 UTC | CAROLINA FINANCIAL CORP CARO · Entity 149472 | OtherCOMMON STOCK | 1.35 | $22.21 | $29.98 |
DisclosureSEC source: 0000870385-16-000058 · primary_doc.xml · nonDerivative · entry 1 REXROAD JERRY L · CIK 0001189784 · Director · President and Chief Executive 10b5-1 filing: Not disclosed Ownership: Indirect · BY DAUGHTER Disclosed balance after: 1,001.35 F1 · shares: THIS TRANSACTION REPRESENTS THE ACQUISITION OF 1.35 SHARES BY THE REPORTING PERSONS DAUGHTER WHO RESIDES IN THE REPORTING PERSONS HOUSEHOLD,AS A RESULT OF THE REINVESTMENT OF DIVIDENDS. THIS TRANSACTION WAS NOT PREVIOUSLY REPORTED IN ACCORDANCE WITH RULE 16a-6. F2 · ownership.direct: THIS TRANSACTION REPRESENTS THE DISPOSITION OF SHARES BY THE REPORTING PERSONS DAUGHTER, WHO RESIDES IN THE REPORTING PERSONS HOUSEHOLD. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.