SEC Form 4 · accession 0001209191-16-126332
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Spillane
Officer — Senior Vice President
Period of report
Jun 3, 2016
Accepted (ET)
Jun 7, 2016 · 5:50 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 | 200,000 | A | — | Jun 3, 2026 | Common Stock | 200,000 | 200,000 | 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. Spillane is then still an employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control."