SEC Form 4 · accession 0001209191-16-126325
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Lampen
Officer — President and CEO · Director
Period of report
Jun 3, 2016
Accepted (ET)
Jun 7, 2016 · 5:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311538
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $0.90 | Jun 3, 2016 | A | 600,000 | A | — | Jun 3, 2026 | Common Stock | 600,000 | 600,000 | D |
Explanation of responses
- F1The option will vest in four equal annual installments beginning on the first anniversary of the grant date provided that Mr. Lampen is still a director or employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control."