SEC Form 4/A · accession 0001354488-16-008674
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
William Hoke
Officer — CFO
Period of report
Dec 9, 2016
Accepted (ET)
Dec 16, 2016 · 5:45 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)F2,F1 | $10.45 | 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.
- F2This Form 4 is being amended to reflect a typographical error in the exercise price of the Option. The original Form 4 reflected ?$10? per share.