SEC Form 4 · accession 0001354488-15-005223

root9B Holdings, Inc. · RTNB

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

Reporting owner

Director

Period of report

Nov 5, 2015

Accepted (ET)

Nov 20, 2015 · 11:21 am 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 Stock^F1,F2	Nov 5, 2015	P	220,682	$1.10	A	993,187	I	United Acquisition Corp.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant (right to purcahse)^F1,F2	$1.50	Nov 5, 2015	P	55,170	A	Nov 5, 2015	Nov 5, 2020	common stock , par value $0.001	55,170	55,170	I

F1United Acquisition Corp. has completed a Securities Purchase Agreement with the Company, in which United Acquisition has purchased 220,682 shares of common stock at $1.10 per share. Additionally, United Acquisition Corp. was provided 25% warrant coverage, the right to buy 55,170 shares of common stock at a Warrant Exercise Price of $1.50 per share.
F2As a result of this purchase, 608,187 shares of stock are held by United Acquisition Corp., which is indirectly 100% owned and controlled by John A. Catsimatidis, who is therefore deemed the indirect beneficial owner. 10,000 shares of stock are held by United Refining Inc., which is indirectly 100% owned and controlled by John A. Catsimatidis, who is therefore deemed the indirect beneficial owner. John Catsimatidis directly owns 375,000 shares.