SEC Form 4 · accession 0001209191-18-039994
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
Jun 28, 2018
Accepted (ET)
Jun 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 | Jun 28, 2018 | M | 200,000 | $0.35 | A | 2,047,470 | D | |
| Common StockF1 | holding | — | — | — | 1,016,065 | I | By spouse |
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)F2 | $0.35 | Jun 28, 2018 | M | 200,000 | D | — | Nov 3, 2018 | Common Stock | 200,000 | 500,000 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F2The options were granted on January 21, 2009 and vested in four equal installments beginning on January 21, 2010.