SEC Form 4 · accession 0001209191-18-022008
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Beaudette
Director
Period of report
Mar 27, 2018
Accepted (ET)
Mar 29, 2018 · 7:49 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 | Mar 27, 2018 | M | 6,000 | $1.03 | A | 46,000 | D | |
| Common StockF1 | holding | — | — | — | 9,246 | I | By BPW Holdings LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $1.03 | Mar 27, 2018 | M | 6,000 | D | Mar 31, 2008 | Mar 31, 2018 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.