SEC Form 4 · accession 0001354488-16-008652
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
William Hoke
Officer — CFO
Period of report
Dec 9, 2016
Accepted (ET)
Dec 12, 2016 · 8:59 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 | $10.00 | Dec 9, 2016 | A | 20,000 | A | Dec 9, 2016 | Dec 9, 2026 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1This option is scheduled to vest in three substantially equal installments on each of December 9, 2016, November 22, 2017 and November 22, 2018.