SEC Form 4 · accession 0001209191-17-028772
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
Apr 26, 2017
Accepted (ET)
Apr 28, 2017 · 5:13 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 | Apr 26, 2017 | A | 90,000 | $0.00 | A | 333,563 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Spillane is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.