SEC Form 4 · accession 0001140361-15-017367
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Grano Jr.
Officer — CEO and Chairman · Director
Period of report
Apr 30, 2015
Accepted (ET)
May 4, 2015 · 3:00 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 | 3,675 | $1.73 | A | 3,804,508 | I | Grano Family Foundation |
| common stock, par value $.001F1 | Apr 30, 2015 | P | 45,400 | $1.74 | A | 3,849,908 | I | Grano Family Foundation |
| common stock, par value $.001F1 | Apr 30, 2015 | P | 5,925 | $1.75 | A | 3,855,833 | I | Grano Family Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All of these shares are held by the Grano Family Foundation of which Joseph Grano is the Trustee. The reporting person disclaims ownership of the securities as he has no 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.