SEC Form 4 · accession 0001140361-15-033543
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seymour Siegel
Director
Period of report
Aug 25, 2015
Accepted (ET)
Aug 26, 2015 · 4:26 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 | Aug 25, 2015 | M | 25,000 | $1.00 | A | 40,518 | D |
Table II — derivative securities
| 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 | $1.00 | Aug 25, 2015 | M | 25,000 | D | Mar 14, 2012 | Mar 14, 2017 | Common Stock, par value $0.001 per share | 25,000 | 0 | D |
Explanation of responses
- F1Pursuant to Stock Option Agreement with grant date of March 14, 2012; 25,000 Options exercised with strike price of $1.00 for a total of $25,000. Each option provided the right to purchase one share of common stock, i.e., one-to-one basis.