SEC Form 4 · accession 0001140361-15-024494
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary Sucoff
Director
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 8:33 am 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 | Jun 15, 2015 | M | 70,847 | $0.77 | A | 189,809 | D | |
| common stock, par value $.001F2 | Jun 15, 2015 | F | 49,593 | $1.87 | D | 0 | D | |
| common stock, par value $.001 | Jun 16, 2015 | P | 10,000 | $1.70 | A | 199,809 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| warrant, right to purchase | $0.77 | Jun 15, 2015 | M | 120,440 | D | Jun 24, 2010 | Jun 24, 2015 | common stock, par value $.001 | 120,440 | 0 | D |
Explanation of responses
- F1Warrants exercised prior to expiration via a cashless option
- F2Reflects 49,593 shares withheld by the issuer at the market price of $1.87 less the exercise price of $0.77 per share to fund the cashless exercise of the warrants