SEC Form 4 · accession 0001209191-19-004662
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
Jan 18, 2019
Accepted (ET)
Jan 22, 2019 · 7:42 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 | Jan 18, 2019 | P | 10,000 | $0.8962 | A | 2,767,470 | D | |
| Common StockF2 | holding | — | — | — | 1,016,065 | I | By spouse |
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 $0.8865 to $0.9043, 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.
- F2The 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.