SEC Form 4 · accession 0001354488-16-006192
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick Kolenik
Director
Period of report
Feb 11, 2016
Accepted (ET)
Feb 12, 2016 · 9:35 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 | Feb 2, 2016 | M | 100,000 | $0.77 | A | 369,418 | D | |
| Common StockF1 | Feb 2, 2016 | F | 61,600 | $1.25 | D | 38,400 | D | |
| Common Stock | Feb 8, 2016 | M | 75,000 | $0.77 | A | 397,082 | D | |
| Common StockF2 | Feb 8, 2016 | F | 47,336 | $1.22 | D | 27,664 | 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 | 75,000 | D | Mar 3, 2011 | Mar 3, 2016 | common stock, par value $0.001 | 75,000 | 0 | D |
Explanation of responses
- F1(1) Reflects 61,600 shares withheld by the Issuer at the market price of $1.25 per share less an exercise price of $0.77 per share to fund the cashless exercise of 100,000 warrants.
- F2(2) Reflects 47,446 shares withheld by the Issuer at the market price of $1.22 per share less an exercise price of $0.77 per share to fund the cashless exercise of 75,000 warrants.