SEC Form 4 · accession 0001209191-17-062229
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
Nov 20, 2017
Accepted (ET)
Nov 22, 2017 · 7:46 am EST
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 | Nov 20, 2017 | M | 56,065 | $0.90 | A | 1,016,065 | I | By spouse |
| Common Stock | holding | — | — | — | 1,847,470 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 5% Subordinated Convertible Note due 2018F1 | $0.90 | Nov 20, 2017 | M | — | D | Oct 31, 2013 | Dec 15, 2018 | Common Stock | 56,065 | — | I |
Explanation of responses
- F1Based on the initial principal amount of the 5% Subordinated Convertible Promissory Note and accrued but unpaid interest thereon as of the date of conversion.