SEC Form 4 · accession 0001209191-18-048101
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
Aug 22, 2018
Accepted (ET)
Aug 23, 2018 · 7:38 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 | Aug 22, 2018 | M | 100,000 | $0.35 | A | 2,647,470 | 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 | Aug 22, 2018 | M | 100,000 | D | — | Jun 11, 2020 | Common Stock | 100,000 | 300,000 | 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 option vested in four equal annual installments commencing on June 11, 2011.