SEC Form 4 · accession 0001140361-15-033209

root9B Holdings, Inc. · RTNB

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Aug 24, 2015

Accepted (ET)

Aug 24, 2015 · 3:27 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 $.001^F2	Aug 21, 2015	M	655,738	$0.61	A	4,611,571	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
option to purchase (common stock, par value $.001)^F1	$0.61	Aug 21, 2015	M	655,738	D	May 20, 2014	May 20, 2024	Common Stock, par value $0.001 per share	655,738	1,344,262	D

F1Pursuant to Stock Option Agreement with grant date of May 20, 2014; 655,738 Options exercised with strike price of $0.61 for a total of $400,000. Each option provided the right to purchase one share of common stock, i.e. one-to-one basis.
F2Aggregate of 4,611,571 shares; of which 917,738 shares owned directly by Joseph Grano, 2,736,613 shares owned indirectly by the Joseph Grano Children's Trust, 957,220 shares owned indirectly by Centurion Holdings, LLC. The reporting person disclaims ownership of the securities owned indirectly by the Joseph Grano Children's Trust and Centurion Holdings, LLC 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 the reported shares for purposes of Section 16 or for any other purpose.