SEC Form 4/A · accession 0001354488-16-006589

root9B Holdings, Inc. · RTNB

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Director

Period of report

Mar 10, 2016

Accepted (ET)

Mar 15, 2016 · 4:08 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001272550

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F2,F3,F1	$1.10	Mar 10, 2016	P	220,682	A	Mar 10, 2016	Mar 10, 2021	common stock, par value $0.001	220,682	220,682	I

F1As 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.
F2United 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 100% warrant coverage, the right to buy 220,682 shares of common stock at a Warrant Exercise Price of $1.10 per share.
F3Pursuant to the terms of the Amended and Restated Securities Purchase Agreement dated March 10, 2016, United Acquisitions Corp. is provided warrant coverage of 100% on 220,682 shares of common stock and thus 220,682 warrants, which replaced the 55,170 warrants issued on November 5, 2015. Additionally, the warrant exercise price was revised to $1.10 from the original exercise price of $1.50.