SEC Form 4 · accession 0001354488-16-007828
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Isaac Blech
Director · 10% Owner
Period of report
Jun 10, 2016
Accepted (ET)
Jun 14, 2016 · 9:57 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.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $1.05 | Jun 10, 2016 | D | 50,000 | D | — | Jun 10, 2016 | Common Stock | 50,000 | 0 | D |
| Warrant (right to buy)F1 | $1.75 | Jun 10, 2016 | A | 50,000 | A | — | Jun 10, 2019 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The two reported transactions involved an exchange of an outstanding warrant, resulting in the deemed cancellation of the ?old? warrant and the grant of a replacement warrant. The ?old? warrant was granted on June 10, 2011.