SEC Form 4 · accession 0001209191-16-105873
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred Small
Officer — SVP, CFO, TREAS. & SECRETARY
Period of report
Mar 3, 2016
Accepted (ET)
Mar 4, 2016 · 7:35 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311538
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 3, 2016 | M | 25,100 | $0.21 | A | 216,466 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $0.21 | Mar 3, 2016 | M | 25,100 | D | — | Jun 9, 2018 | Common Stock | 25,100 | 0 | D |
Explanation of responses
- F1The options were granted on June 9, 2008 and vested in four equal installments beginning on June 9, 2009.