SEC Form 4 · accession 0001209191-18-029056
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
May 9, 2018
Accepted (ET)
May 10, 2018 · 7:28 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 | May 9, 2018 | M | 33,900 | $0.21 | A | 461,285 | D |
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)F1 | $0.21 | May 9, 2018 | M | 33,900 | D | — | Jun 9, 2018 | Common Stock | 33,900 | 0 | D |
Explanation of responses
- F1The option vested in four equal annual installments commencing on June 9, 2009.