SEC Form 4/A · accession 0001437749-17-015317
root9B Holdings, Inc. · RTNB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| root9B Holdings Inc.F1 | Aug 22, 2017 | S | 253,697 | $3.13 | D | 627,158 | I | By corporation |
| root9B Holdings Inc.F2 | Aug 23, 2017 | S | 125,000 | $2.26 | D | 502,158 | I | By corporation |
Table II — derivative securities
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 $2.85 to $3.18. 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 $2.15 to $2.45. 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
The original Form 4 filed on August 23rd, 2017 is amended by this Form 4 amendment to correctly reflect the number of exercisable warrants. No other changes have been made. As of the date of this joint filing, Quad Capital Management Advisors owns 227,838 shares and 86,553 shares obtainable upon exercise of warrants, Mr. Guarino owns 18,478 shares and 4,545 shares obtainable upon exercise of warrants, and Mr. Ciampi owns 97,888 shares and 66,856 shares obtainable upon exercise of warrants. For that reason, Quad Capital Management Advisors may be deemed to beneficially own 502,158 Shares comprised of the shares and warrants owned jointly by the Corporation and Mssrs. Guarino and Ciampi.