SEC Form 4 · accession 0001209191-16-130075
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 27, 2016
Accepted (ET)
Jun 29, 2016 · 4:49 pm EDT
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 StockF1 | Jun 27, 2016 | P | 120,000 | $0.7147 | A | 1,417,520 | D | |
| Common StockF2 | Jun 28, 2016 | P | 72,300 | $0.7434 | A | 1,489,820 | D | |
| Common StockF3 | Jun 29, 2016 | P | 50,000 | $0.7501 | A | 1,539,820 | D | |
| Common Stock | holding | — | — | — | 960,000 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7100 to $0.7172, inclusive. 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 purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- F2The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7313 to $0.7500, inclusive. 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 purchased at each separate price within the range set forth in footnote (2) to this Form 4.
- F3The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7430 to $0.7550, inclusive. 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 purchased at each separate price within the range set forth in footnote (3) to this Form 4.