SEC Form 4 · accession 0001209191-18-017881
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry C Beinstein
Director
Period of report
Mar 5, 2018
Accepted (ET)
Mar 7, 2018 · 8:15 pm 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 | Mar 5, 2018 | M | 20,000 | $0.29 | A | 235,000 | D | |
| Common Stock | Mar 5, 2018 | M | 20,000 | $0.27 | A | 255,000 | D | |
| Common Stock | Mar 5, 2018 | M | 20,000 | $0.29 | A | 275,000 | D |
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) | $0.29 | Mar 5, 2018 | M | 20,000 | D | Feb 4, 2011 | Feb 4, 2020 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy) | $0.27 | Mar 5, 2018 | M | 20,000 | D | Sep 12, 2012 | Sep 12, 2021 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy) | $0.29 | Mar 5, 2018 | M | 20,000 | D | Oct 15, 2013 | Oct 15, 2022 | Common Stock | 20,000 | 0 | D |