SEC Form 5 · accession 0001140361-15-034752
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Todd Carnahan
Director
Period of report
Aug 27, 2015
Accepted (ET)
Sep 10, 2015 · 12:20 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 27, 2015 | M | 50,000 | $0.56 | A | 157,759 | D | |
| common stock, par value $.001 | Aug 27, 2015 | M | 75,000 | $0.59 | A | 232,759 | D | |
| common stock, par value $.001 | Aug 27, 2015 | M | 75,000 | $0.83 | A | 307,759 | 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 | $0.56 | Aug 27, 2015 | M | 50,000 | D | Jul 1, 2012 | Jul 1, 2017 | Common Stock, par value $0.001 per share | 50,000 | 0 | D |
| option to purchase (common stock, par value $.001)F2 | $0.59 | Aug 27, 2015 | M | 75,000 | D | Jul 1, 2013 | Jul 1, 2018 | Common Stock, par value $0.001 per share | 75,000 | 0 | D |
| option to purchase (common stock, par value $.001)F3 | $0.83 | Aug 27, 2015 | M | 75,000 | D | Jul 1, 2014 | Jul 1, 2019 | Common Stock, par value $0.001 per share | 75,000 | 0 | D |
Explanation of responses
- F1Pursuant to Stock Option Agreement with grant date of July 1, 2012; 50,000 Options exercised with strike price of $0.56 for a total of $28,000. Each option provided the right to purchase one share of common stock, i.e. one-to-one basis.
- F2Pursuant to Stock Option Agreement with grant date of July 1, 2013; 75,000 Options exercised with strike price of $0.59 for a total of $44,250. 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, 2014; 75,000 Options exercised with strike price of $0.83 for a total of $62,250. Each option provided the right to purchase one share of common stock, i.e. one-to-one basis.