SEC Form 4 · accession 0001354488-16-008651
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Scott Hipkins
Director · Other
Period of report
Nov 1, 2016
Accepted (ET)
Dec 12, 2016 · 8:56 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy)F1 | $0.68 | Nov 1, 2016 | A | 1,325,893 | A | Nov 1, 2016 | Nov 1, 2026 | Common Stock | 1,325,893 | 1,325,893 | D |
Explanation of responses
- F1On December 1, 2016, the issuer filed an amendment to its certificate of incorporation with the Delaware Secretary of State to effect a one-for-fifteen (1:15) reverse stock split of the issuer?s outstanding common stock (the "Reverse Split"). This grant is reported without adjusting for the effects of the Reverse Split.