SEC Form 4 · accession 0001548123-18-000151
CASTLE GROUP INC · CAGU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Nitta
Officer — Chief Financial Officer
Period of report
Jun 28, 2018
Accepted (ET)
Jul 2, 2018 · 2:48 pm EDT
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 StockF1 | May 24, 2009 | S | 5,000 | $0.37 | D | 0 | I | By daughter Nicolle |
| Common StockF1 | May 24, 2009 | P | 5,000 | $0.37 | A | 160,200 | D | |
| Common Stock | May 15, 2014 | P | 6,700 | $0.37 | A | 166,900 | D | |
| Common Stock | Aug 21, 2014 | P | 5,000 | $0.22 | A | 171,900 | D | |
| Common Stock | Aug 5, 2015 | P | 5,000 | $0.31 | A | 176,900 | D | |
| Common Stock | Jun 14, 2018 | P | 4,200 | $0.25 | A | 181,100 | 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 | holding | — | — | — | Dec 16, 2016 | Dec 15, 2021 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Transferred shares from his daughter. Ownership went from indirect to direct.
Remarks
Reporting person resigned as Chief Financial Officer of The Castle Group on December 31, 2007, and ceased to be a reporting person. At a meeting of the board of directors on June 28, 2018, Mr. Nitta was appointed Chief Financial Officer of the company. Transactions reported above occurred between the dates of December 31, 2007 and June 28, 2018.