SEC Form 4 · accession 0001209191-18-062148
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Andrews
Director
Period of report
Dec 11, 2018
Accepted (ET)
Dec 12, 2018 · 7:39 am 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 StockF1 | Dec 11, 2018 | P | 25,000 | $0.7689 | A | 736,684 | I | Held By IRA |
| Common StockF2 | holding | — | — | — | 3,163,724 | D | ||
| Common StockF3 | holding | — | — | — | 1,183,079 | I | By Knappogue Corp. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.76035 to $0.77, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- F2Includes shares of Common Stock held jointly with the reporting person's spouse.
- F3The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.