SEC Form 4 · accession 0001437749-17-009880
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Quad Capital Management Advisors LLC
10% Owner
Guerino Ciampi
10% Owner
John Guarino
10% Owner
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 8:48 am 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 |
|---|---|---|---|---|---|---|---|---|
| root9B Holdings Inc.F1 | May 19, 2017 | P | 1,538 | $7.49 | A | 544,760 | I | By corporation |
| root9B Holdings Inc.F2 | May 22, 2017 | P | 2,779 | $6.96 | A | 547,539 | I | By corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.48 to $7.50. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, , upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.85 to $7.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, , upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote.
Remarks
As of the date of this joint filing, Quad Capital Management Advisors owns 547,539 shares, Mr. Guarino owns 18,478 shares and Mr. Ciampi owns 97,888 shares. For that reason, Quad Capital Management Advisors may be deemed to beneficially own 663,905 Shares comprised of the shares owned jointly by the Corporation and Mssrs. Guarino and Ciampi.