SEC Form 4 · accession 0001209191-17-062231
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Andrews
Director
Period of report
Nov 20, 2017
Accepted (ET)
Nov 22, 2017 · 7:48 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 StockF1 | Nov 20, 2017 | M | 56,065 | $0.90 | A | 3,043,724 | D | |
| Common Stock | holding | — | — | — | 711,684 | I | Held By IRA | |
| Common StockF2 | holding | — | — | — | 1,183,079 | I | By Knappogue Corp. |
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 2018F3 | $0.90 | Nov 20, 2017 | M | — | D | Oct 31, 2013 | Dec 15, 2018 | Common Stock | 56,065 | 0 | D |
Explanation of responses
- F1Includes shares of Common Stock held jointly with the reporting person's spouse.
- F2The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
- F3Based on the initial principal amount of the 5% Subordinated Convertible Promissory Note and accrued but unpaid interest thereon as of the date of conversion.