SEC Form 4 · accession 0001548123-16-000750
CASTLE GROUP INC · CAGU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Roland Mattson
Officer — President and COO · Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 11:11 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000918543
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 102,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $1.00 | Dec 12, 2016 | A | 50,000 | A | Dec 12, 2016 | Dec 11, 2021 | Common Stock | 50,000 | 100,000 | D |
| Warrant | $1.00 | holding | — | — | — | May 28, 2014 | May 27, 2019 | Common Stock | 50,000 | 50,000 | D |
Remarks
On December 12, 2016, the board of directors issued warrants for 50,000 shares of CAGU common stock at an exercise price of $1.00 per common share, exercisable on or before December 11, 2021 to Alan Roland Mattson. These warrants are in addition to the previous warrants reported in Table II above which expire on May 27, 2019.