SEC Form 4 · accession 0001140361-15-032145

root9B Holdings, Inc. · RTNB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Director · 10% Owner

10% Owner

10% Owner

Period of report

Aug 11, 2015

Accepted (ET)

Aug 14, 2015 · 3:07 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001272550

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant (right to buy)^F1,F4,F3,F2	$0.77	Aug 11, 2015	H	4,285,714	D	—	Mar 3, 2016	Common Stock, par value $0.001 per share	4,285,714	0	D
Warrant (right to buy)^F1,F4,F3	$1.20	Aug 11, 2015	A	4,285,714	A	Feb 11, 2017	Aug 11, 2018	Common Stock, par value $0.001 per share	4,285,714	4,285,714	D
Warrant (right to buy)^F6,F4,F5,F2	$0.77	Aug 11, 2015	H	2,857,142	D	—	Mar 3, 2016	Common Stock, par value $0.001 per share	2,857,142	0	I
Warrant (right to buy)^F6,F4,F5	$1.20	Aug 11, 2015	A	2,857,142	A	Feb 11, 2017	Aug 11, 2018	Common Stock, par value $0.001 per share	2,857,142	2,857,142	I

F1Reflects the exchange of 4,285,714 Common Stock Purchase Warrants. Previously issued Common Stock Purchase Warrants with strike price of $0.77 and expiration date of 03/03/2016 were exercisable at the time of the transaction and have been exchanged for replacement warrants with strike price of $1.20 and expiration date of 08/11/2018. Such replacement warrants are not exercisable until 02/11/2017.
F2The warrants were exercisable as of the date of the warrant exchange.
F3These securities are owned directly by Miriam Blech, Isaac Blech's wife.
F4As spouses, Miriam Blech and Isaac Blech may be deemed the beneficial owner of the securities held by Miriam Blech, Isaac Blech and the trust. Each reporting person disclaims the other reporting persons' beneficial ownership of the securities reported herein, except to its, his or her pecuniary interest therein, if any.
F5River Charitable Remainder Unitrust f/b/o Isaac Blech ("River Trust") is the beneficial owner of more than 10% of the Issuer's common stock. Isaac Blech is the sole trustee of the River Trust.
F6Reflects the exchange of 2,857,142 Common Stock Purchase Warrants. Previously issued Common Stock Purchase Warrants with strike price of $0.77 and expiration date of 03/03/2016 were exercisable at the time of the transaction and have been exchanged for replacement warrants with strike price of $1.20 and expiration date of 08/11/2018. Such replacement warrants are not exercisable until 02/11/2017.