SEC Form 4 · accession 0001354488-16-007716
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wesley Clark
Director
Period of report
May 26, 2016
Accepted (ET)
Jun 1, 2016 · 5:50 pm EDT
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, par value $.001 | May 26, 2016 | S | 25,000 | $1.18 | D | 32,000 | D | |
| Common Stock, par value $.001 | May 31, 2016 | M | 25,000 | $0.65 | A | 57,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| option to purchase (common stock, par value $.001) | $0.65 | May 31, 2016 | M | 25,000 | D | Aug 14, 2012 | Aug 14, 2022 | common stock, par value $0.001 | 25,000 | 155,000 | D |
Explanation of responses
- F1Pursuant to Stock Option Agreement with grant date of August 14, 2012; 25,000 options exercised with strike price of $0.65 for a total of $16,250. Each option provided the right to purchase one share of common stock, i.e., one-to-one basis.