SEC Form 4 · accession 0001140361-15-017213
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Grano Jr.
Officer — CEO / Chairman · Director
Period of report
Apr 30, 2015
Accepted (ET)
May 1, 2015 · 4:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001272550
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock, par value $.001F1 | Apr 30, 2015 | P | 2,000 | $1.70 | A | 3,745,833 | D | |
| common stock, par value $.001F1 | Apr 30, 2015 | P | 55,000 | $1.74 | A | 3,800,833 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F12,681,613 shares are held by the Joseph Grano Childrens Trust of which Joseph Grano has the right to execute a substitution clause. 957,220 shares are held by Centurion Holdings LLC of which Joseph Grano is a controlling member. The reporting person disclaims ownership of the securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed to be an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.