SEC Form 4 · accession 0001354488-15-004943
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel William Wachtler
Director · Other
Period of report
Nov 5, 2015
Accepted (ET)
Nov 10, 2015 · 6:31 pm EST
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 StockF1 | Nov 5, 2015 | P | 227,273 | $1.10 | A | 6,226,293 | I | DWW Family Trust |
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 purcahse)F1 | $1.50 | Nov 5, 2015 | P | 56,818 | A | Nov 5, 2015 | Nov 5, 2020 | common stock , par value $0.001 | 56,818 | 56,818 | I |
Explanation of responses
- F1DWW Family Trust has completed a Securities Purchase Agreement with the Company, in which DWW Family Trust has purchased 227,273 shares of common stock at $1.10 per share. Additionally, DWW family Trust was provided 25% warrant coverage, the right to buy 56,818 shares of common stock at a Warrant Exercise Price of $1.50 per share.