SEC Form 4 · accession 0001140361-15-033310
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary Sucoff
Director
Period of report
Aug 21, 2015
Accepted (ET)
Aug 25, 2015 · 11:35 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 $.001 | Aug 21, 2015 | M | 6,000 | $0.77 | A | 205,809 | D | |
| common stock, par value $.001 | Aug 21, 2015 | M | 25,000 | $0.56 | A | 230,809 | D | |
| common stock, par value $.001 | Aug 21, 2015 | M | 15,000 | $0.59 | A | 245,809 | 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)F1 | $0.77 | Aug 21, 2015 | M | 6,000 | D | Dec 6, 2010 | Dec 6, 2015 | Common Stock, par value $0.001 per share | 6,000 | 0 | D |
| option to purchase (common stock, par value $.001)F2 | $0.56 | Aug 21, 2015 | M | 25,000 | D | Jul 1, 2012 | Jul 1, 2017 | Common Stock, par value $0.001 per share | 25,000 | 0 | D |
| option to purchase (common stock, par value $.001)F3 | $0.59 | Aug 21, 2015 | M | 15,000 | D | Jul 1, 2013 | Jul 1, 2018 | Common Stock, par value $0.001 per share | 15,000 | 60,000 | D |
Explanation of responses
- F1Reflect the exercise of 6,000 warrants with strike price of $0.77 for a total of $4,620. These warrants were issued on 12/6/2010 and had an expiration date of 12/6/2015.
- F2Pursuant to Stock Option Agreement with grant date of July 1, 2012; 25,000 Options exercised with strike price of $0.56 for a total of $14,000. Each option provided the right to purchase one share of common stock, i.e. one-to-one basis.
- F3Pursuant to Stock Option Agreement with grant date of July 1, 2013; 15,000 Options exercised with strike price of $0.59 for a total of $8,850. Each option provided the right to purchase one share of common stock, i.e. one-to-one basis.