SEC Form 4 · accession 0001209191-19-004466
Castle Brands Inc · ROX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven D Rubin
Director
Period of report
Jan 16, 2019
Accepted (ET)
Jan 18, 2019 · 7:26 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 Stock | Jan 16, 2019 | M | 100,000 | $0.23 | A | 116,000 | D |
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)F1 | $0.23 | Jan 16, 2019 | M | 100,000 | D | — | Jan 21, 2019 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1The option vested in four equal annual installments commencing on January 21, 2010.