SEC Form 4 · accession 0001548123-17-000253
CASTLE GROUP INC · CAGU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Stephen Wall
Officer — CEO & Chairman · Director · 10% Owner
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 11:55 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 | — | — | — | 2,409,833 | D | ||
| Common Stock | holding | — | — | — | 18,941 | I | Siblings | |
| Common Stock | holding | — | — | — | 310,000 | I | By HBII Mgt Inc. |
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 | May 28, 2014 | A | 50,000 | A | May 28, 2014 | May 27, 2019 | Common Stock | 50,000 | 50,000 | D |
| Warrant | $5.00 | Nov 9, 2017 | A | 500,000 | A | Nov 9, 2017 | Oct 31, 2022 | Common Stock | 500,000 | 550,000 | D |
| Warrant | $7.00 | Nov 9, 2017 | A | 500,000 | A | Nov 9, 2017 | Oct 31, 2024 | Common Stock | 500,000 | 1,050,000 | D |
| Warrant | $10.00 | Nov 9, 2017 | A | 500,000 | A | Nov 9, 2017 | Oct 31, 2027 | Common Stock | 500,000 | 1,550,000 | D |
Remarks
On November 9, 2017, the Company amended the employment agreement of reporting person and such amendment included the issuance of warrants.