SEC Form 4 · accession 0001209191-16-134361
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
Jul 28, 2016
Accepted (ET)
Jul 29, 2016 · 8:08 am 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 Stock | Jul 28, 2016 | M | 100,000 | $0.35 | A | 1,657,470 | D | |
| Common Stock | holding | — | — | — | 960,000 | I | By spouse |
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 | $0.35 | Jul 28, 2016 | M | 100,000 | D | — | Nov 3, 2018 | Common Stock | 100,000 | 800,000 | D |
Explanation of responses
- F1The options were granted on January 21, 2009 and vested in four equal installments beginning on January 21, 2010.