SEC Form 4 · accession 0001354488-16-006187
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary Sucoff
Director
Period of report
Feb 9, 2016
Accepted (ET)
Feb 11, 2016 · 9:55 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 Stock | Feb 2, 2016 | M | 100,000 | $0.77 | A | 287,593 | D | |
| Common StockF1 | Feb 2, 2016 | F | 58,216 | $1.32 | D | 41,784 | D | |
| Common Stock | Feb 8, 2016 | M | 150,000 | $0.77 | A | 345,710 | D | |
| Common StockF1,F2 | Feb 8, 2016 | F | 91,883 | $1.26 | D | 58,117 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $0.77 | Feb 2, 2016 | M | 100,000 | D | Mar 3, 2011 | Mar 3, 2016 | common stock, par value $0.001 | 100,000 | 0 | D |
| Warrant | $0.77 | Feb 8, 2016 | M | 150,000 | D | Mar 3, 2011 | Mar 3, 2016 | common stock, par value $0.001 | 150,000 | 0 | D |
Explanation of responses
- F1(1) Reflects 58,216 shares withheld by the Issuer at the market price of $1.32 per share less and exercise price of $0.77 per share to fund the cashless exercise of 100,000 warrants.
- F2(2) Reflects 91,883 shares withheld by the Issuer at the market price of $1.26 per share less an exercise price of $0.77 per share to fund the cashless exercise of 150,000 warrants.