Insider · CIK 0001047092

Richard Lampen

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market buys & salesbuys $1.3M · 63sales $0 · 0net $1.3M

Reported trades — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 20, 2019 PForm 4 →	Feb 21, 7:36 am EST	Castle Brands IncROX	10,000	$0.7957	$7,957	2,797,470	+0.36%	plan?
Feb 19, 2019 PForm 4 →	Feb 20, 7:40 am EST	Castle Brands IncROX	10,000	$0.7986	$7,986	2,787,470	+0.36%	plan?
Feb 15, 2019 PForm 4 →	Feb 19, 7:48 am EST	Castle Brands IncROX	10,000	$0.8008	$8,008	2,777,470	+0.36%	plan?
Jan 18, 2019 PForm 4 →	Jan 22, 7:42 am EST	Castle Brands IncROX	10,000	$0.8962	$8,962	2,767,470	+0.36%	plan?
Jan 17, 2019 PForm 4 →	Jan 18, 7:27 am EST	Castle Brands IncROX	10,000	$0.9094	$9,094	2,757,470	+0.36%	plan?
Jan 15, 2019 PForm 4 →	Jan 16, 7:58 am EST	Castle Brands IncROX	10,000	$0.8941	$8,941	2,747,470	+0.37%	plan?
Jan 14, 2019 PForm 4 →	Jan 15, 7:30 am EST	Castle Brands IncROX	10,000	$0.9153	$9,153	2,737,470	+0.37%	plan?
Jan 11, 2019 PForm 4 →	Jan 14, 7:33 am EST	Castle Brands IncROX	10,000	$0.8862	$8,862	2,727,470	+0.37%	plan?
Jan 10, 2019 AForm 4 →	Jan 14, 7:39 am EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	400,000	—	—	2,978,671	—	plan?
Jan 10, 2019 PForm 4 →	Jan 11, 7:47 am EST	Castle Brands IncROX	10,000	$0.839	$8,390	2,717,470	+0.37%	plan?
Jan 9, 2019 PForm 4 →	Jan 10, 7:43 am EST	Castle Brands IncROX	10,000	$0.8423	$8,423	2,707,470	+0.37%	plan?
Dec 24, 2018 PForm 4 →	Dec 26, 7:55 am EST	Castle Brands IncROX	10,000	$0.7974	$7,974	2,697,470	+0.37%	plan?
Dec 19, 2018 PForm 4 →	Dec 20, 7:39 am EST	Castle Brands IncROX	10,000	$0.7977	$7,977	2,687,470	+0.37%	plan?
Dec 17, 2018 PForm 4 →	Dec 18, 7:32 am EST	Castle Brands IncROX	10,000	$0.8437	$8,437	2,677,470	+0.37%	plan?
Dec 14, 2018 PForm 4 →	Dec 17, 7:44 am EST	Castle Brands IncROX	10,000	$0.8203	$8,203	2,667,470	+0.38%	plan?
Dec 13, 2018 PForm 4 →	Dec 14, 7:36 am EST	Castle Brands IncROX	10,000	$0.8084	$8,084	2,657,470	+0.38%	plan?
Nov 15, 2018 PForm 4 →	Nov 16, 7:36 am EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$2.68	$13,418	2,578,671	+0.19%	plan?
Oct 17, 2018 FMForm 4 →	Oct 18, 7:38 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	1,031,388	$2.14	$2,207,653	2,573,671	—	plan?
Oct 12, 2018 PForm 4 →	Oct 15, 8:19 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	10,000	$2.54	$25,388	2,405,059	+0.42%	plan?
Sep 21, 2018 PForm 4 →	Sep 24, 7:51 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	50,000	$2.53	$126,430	2,395,059	+2.13%	plan?
Aug 22, 2018 MForm 4 →	Aug 23, 7:38 am EDT	Castle Brands IncROX	100,000	$0.35	$35,000	2,647,470	—	plan?
Aug 17, 2018 PForm 4 →	Aug 20, 8:31 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.20	$16,000	2,345,059	+0.21%	plan?
Aug 1, 2018 MForm 4 →	Aug 2, 7:58 am EDT	Castle Brands IncROX	300,000	$0.35	$105,000	2,547,470	—	plan?
Jul 12, 2018 MForm 4 →	Jul 13, 7:49 am EDT	Castle Brands IncROX	200,000	$0.35	$70,000	2,247,470	—	plan?
Jul 2, 2018 PForm 4 →	Jul 3, 7:39 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.40	$17,009	2,340,059	+0.21%	plan?
Jun 29, 2018 PForm 4 →	Jul 2, 7:33 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.43	$17,145	2,335,059	+0.21%	plan?
Jun 28, 2018 PForm 4 →	Jun 29, 7:50 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	10,000	$3.50	$35,017	2,330,059	+0.43%	plan?
Jun 28, 2018 MForm 4 →	Jun 29, 7:49 am EDT	Castle Brands IncROX	200,000	$0.35	$70,000	2,047,470	—	plan?
Jun 27, 2018 PForm 4 →	Jun 28, 8:02 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.57	$17,848	2,320,059	+0.22%	plan?
Jun 25, 2018 PForm 4 →	Jun 26, 7:37 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.57	$17,838	2,315,059	+0.22%	plan?
Apr 13, 2018 PForm 4 →	Apr 16, 7:52 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.30	$16,511	73,333	+7.32%	plan?
Apr 12, 2018 PForm 4 →	Apr 13, 7:33 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.20	$15,982	2,310,059	+0.22%	plan?
Apr 6, 2018 PForm 4 →	Apr 9, 7:53 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.10	$15,500	68,333	+7.89%	plan?
Apr 2, 2018 PForm 4 →	Apr 3, 7:55 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$3.09	$15,473	2,305,059	+0.22%	plan?
Mar 29, 2018 PForm 4 →	Mar 30, 8:11 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	10,000	$3.30	$32,957	2,300,059	+0.44%	plan?
Mar 28, 2018 PForm 4 →	Mar 29, 7:52 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	20,000	$3.25	$64,978	2,290,059	+0.88%	plan?
Mar 28, 2018 GForm 4 →	Mar 28, 9:00 pm EDT	VECTOR GROUP LTDVGR	9,000	—	—	201,264	—	plan?
Mar 7, 2018 GForm 4 →	Mar 8, 8:01 pm EST	VECTOR GROUP LTDVGR	44,000	—	—	5,605	—	plan?
Jan 22, 2018 GForm 4 →	Jan 22, 9:00 pm EST	VECTOR GROUP LTDVGR	33,400	—	—	16,605	—	plan?
Jan 12, 2018 AForm 4 →	Jan 17, 5:14 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	325,000	—	—	2,270,059	—	plan?
Dec 28, 2017 GForm 4 →	Dec 29, 4:53 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	25,000	—	—	1,945,059	—	plan?
Nov 20, 2017 MForm 4 →	Nov 22, 7:46 am EST	Castle Brands IncROX	56,065	$0.90	$50,459	1,016,065	—	plan?
Oct 12, 2017 GForm 4 →	Oct 12, 9:00 pm EDT	VECTOR GROUP LTDVGR	11,000	—	—	5,305	—	plan?
Aug 8, 2017 GForm 4 →	Aug 9, 9:00 pm EDT	VECTOR GROUP LTDVGR	35,000	—	—	2,196	—	plan?
Jul 20, 2017 FMForm 4 →	Jul 21, 7:18 pm EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	1,172,412	$2.39	$2,805,306	1,970,059	—	plan?
Jun 27, 2017 MForm 4 →	Jun 29, 7:38 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	20,000	$2.30	$46,000	1,942,471	—	plan?
May 22, 2017 PForm 4 →	May 23, 7:58 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	5,000	$2.23	$11,137	1,922,471	+0.26%	plan?
Apr 5, 2017 GForm 4 →	Apr 5, 9:00 pm EDT	VECTOR GROUP LTDVGR	4,000	—	—	244,252	—	plan?
Mar 17, 2017 PForm 4 →	Mar 20, 7:19 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	10,000	$2.33	$23,342	1,917,471	+0.52%	plan?
Jan 13, 2017 AForm 4 →	Jan 18, 5:20 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	275,000	—	—	1,907,471	—	plan?
Jan 10, 2017 GForm 4 →	Jan 10, 9:15 pm EST	VECTOR GROUP LTDVGR	4,800	—	—	7,196	—	plan?
Dec 27, 2016 PForm 4 →	Dec 28, 7:57 pm EST	Castle Brands IncROX	90,000	$0.7195	$64,753	1,847,470	+5.12%	plan?
Nov 14, 2016 GForm 5 →	Nov 14, 5:42 pm EST	VECTOR GROUP LTDVGR	3,000	—	—	250,652	—	plan?
Nov 9, 2016 PForm 4 →	Nov 10, 7:44 am EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	10,000	$1.86	$18,600	1,632,471	+0.62%	plan?
Oct 25, 2016 GForm 5 →	Oct 25, 5:15 pm EDT	VECTOR GROUP LTDVGR	8,000	—	—	9,596	—	plan?
Aug 30, 2016 MForm 4 →	Sep 1, 7:51 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	20,000	$1.39	$27,800	1,622,471	—	plan?
Aug 29, 2016 MForm 4 →	Aug 30, 7:40 am EDT	Castle Brands IncROX	100,000	$0.35	$35,000	1,757,470	—	plan?
Aug 16, 2016 PForm 4 →	Aug 17, 8:01 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.28	$11,424	1,602,471	+0.31%	plan?
Jul 28, 2016 MForm 4 →	Jul 29, 8:08 am EDT	Castle Brands IncROX	100,000	$0.35	$35,000	1,657,470	—	plan?
Jul 5, 2016 PForm 4 →	Jul 6, 7:26 am EDT	Castle Brands IncROX	17,650	$0.753	$13,290	1,557,470	+1.15%	plan?
Jun 27, 2016 PForm 4 →	Jun 29, 4:49 pm EDT	Castle Brands IncROX	242,300	$0.7306	$177,017	1,539,820	+18.7%	plan?
Jun 27, 2016 FMForm 4 →	Jun 29, 8:00 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	984,446	$1.43	$1,408,381	1,597,471	—	plan?
Jun 24, 2016 PForm 4 →	Jun 27, 8:00 am EDT	Castle Brands IncROX	20,200	$0.72	$14,544	1,297,520	+1.58%	plan?
May 20, 2016 PForm 4 →	May 23, 7:30 am EDT	Castle Brands IncROX	10,000	$0.81	$8,100	1,277,320	+0.79%	plan?
May 6, 2016 GForm 4 →	May 6, 9:00 pm EDT	VECTOR GROUP LTDVGR	3,000	—	—	245,383	—	plan?
May 4, 2016 GForm 5 →	May 4, 9:00 pm EDT	VECTOR GROUP LTDVGR	10,000	—	—	5,330	—	plan?
Apr 25, 2016 PForm 4 →	Apr 26, 9:08 am EDT	Castle Brands IncROX	10,000	$0.89	$8,900	1,267,320	+0.80%	plan?
Apr 20, 2016 PForm 4/A →	Apr 21, 4:48 pm EDT	Castle Brands IncROX	8,500	$0.89	$7,565	1,257,320	+0.68%	plan?
Apr 20, 2016 PForm 4 →	Apr 21, 7:59 am EDT	Castle Brands IncROX	8,500	$0.85	$7,225	1,257,320	+0.68%	plan?
Apr 14, 2016 PForm 4 →	Apr 15, 7:50 am EDT	Castle Brands IncROX	10,000	$0.8888	$8,888	1,248,820	+0.81%	plan?
Apr 12, 2016 PForm 4 →	Apr 13, 7:50 am EDT	Castle Brands IncROX	10,000	$0.8776	$8,776	1,238,820	+0.81%	plan?
Mar 29, 2016 PForm 4 →	Mar 30, 7:49 am EDT	Castle Brands IncROX	7,100	$0.85	$6,035	1,228,820	+0.58%	plan?
Mar 21, 2016 PForm 4 →	Mar 22, 7:20 am EDT	Castle Brands IncROX	25,000	$0.85	$21,250	1,221,720	+2.09%	plan?
Mar 17, 2016 PForm 4 →	Mar 18, 7:35 am EDT	Castle Brands IncROX	25,000	$0.8398	$20,995	1,196,720	+2.13%	plan?
Mar 2, 2016 MForm 4 →	Mar 3, 7:29 am EST	Castle Brands IncROX	50,000	$0.35	$17,500	1,171,720	—	plan?
Feb 18, 2016 MForm 4 →	Feb 19, 7:17 am EST	Castle Brands IncROX	50,000	$0.35	$17,500	1,121,720	—	plan?
Jan 14, 2016 AForm 4 →	Jan 19, 5:17 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	250,000	—	—	1,381,917	—	plan?
Jan 14, 2016 PForm 4 →	Jan 15, 7:30 am EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.24	$11,211	1,131,917	+0.44%	plan?
Jan 12, 2016 GForm 5 →	Jan 12, 5:15 pm EST	VECTOR GROUP LTDVGR	4,800	—	—	330	—	plan?
Nov 13, 2015 PForm 4 →	Nov 16, 8:04 am EST	Castle Brands IncROX	10,000	$1.36	$13,600	1,071,720	+0.94%	plan?
Nov 12, 2015 GForm 4/A →	Nov 12, 9:04 pm EST	VECTOR GROUP LTDVGR	2,000	—	—	255,783	—	plan?
Nov 12, 2015 GForm 4 →	Nov 12, 5:30 pm EST	VECTOR GROUP LTDVGR	2,000	—	—	255,783	—	plan?
Sep 28, 2015 PForm 4 →	Sep 29, 7:48 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	10,000	$2.12	$21,200	1,126,917	+0.90%	plan?
Sep 24, 2015 PForm 4 →	Sep 25, 8:00 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.25	$11,250	1,116,917	+0.45%	plan?
Sep 22, 2015 PForm 4 →	Sep 23, 7:36 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.28	$11,400	1,111,917	+0.45%	plan?
Aug 24, 2015 PForm 4 →	Aug 25, 7:47 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,200	$3.13	$16,276	4,200	—	plan?
Aug 24, 2015 PForm 4 →	Aug 25, 7:36 am EDT	Castle Brands IncROX	10,000	$1.06	$10,600	1,061,720	+0.95%	plan?
Aug 18, 2015 PForm 4 →	Aug 19, 8:34 am EDT	Castle Brands IncROX	20,000	$1.14	$22,800	960,000	+2.13%	plan?
Aug 17, 2015 PForm 4 →	Aug 18, 7:55 am EDT	Castle Brands IncROX	20,000	$1.13	$22,648	1,051,720	+1.94%	plan?
Aug 14, 2015 PForm 4 →	Aug 17, 8:00 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.62	$13,088	1,101,917	+0.46%	plan?
Aug 12, 2015 PForm 4 →	Aug 13, 7:59 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$2.67	$13,361	1,096,917	+0.46%	plan?
Aug 11, 2015 PForm 4 →	Aug 12, 8:04 am EDT	Castle Brands IncROX	40,000	$1.17	$46,968	1,031,720	+4.03%	plan?
Jul 7, 2015 PForm 4 →	Jul 8, 8:02 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$3.37	$16,860	1,091,917	+0.46%	plan?
Jul 2, 2015 PForm 4 →	Jul 6, 8:05 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$3.46	$17,300	1,086,917	+0.46%	plan?
Jun 9, 2015 PForm 4 →	Jun 10, 7:59 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	5,000	$3.61	$18,037	1,081,917	+0.46%	plan?
May 18, 2015 GForm 5 →	May 18, 9:00 pm EDT	VECTOR GROUP LTDVGR	3,000	—	—	245,508	—	plan?
Mar 13, 2015 PForm 4 →	Mar 17, 8:06 am EDT	Castle Brands IncROX	50,000	$1.19	$59,468	991,720	+5.31%	plan?
Feb 4, 2015 GForm 5/A →	Feb 11, 5:30 pm EST	VECTOR GROUP LTDVGR	2,400	—	—	2,600	—	plan?
Feb 4, 2015 GForm 5 →	Feb 5, 5:30 pm EST	VECTOR GROUP LTDVGR	2,400	—	—	246,108	—	plan? amended
Jan 20, 2015 AForm 4 →	Jan 22, 5:20 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	200,000	—	—	1,076,917	—	plan?

Reported trades — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake
Feb 27, 2019 AForm 4 →	Feb 27, 9:00 pm EST	VECTOR GROUP LTDVGR	62,500	—	—	62,500	—
Oct 17, 2018 MForm 4 →	Oct 18, 7:38 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	600,000	—	—	0	—
Aug 22, 2018 MForm 4 →	Aug 23, 7:38 am EDT	Castle Brands IncROX	100,000	—	—	300,000	—
Aug 1, 2018 MForm 4 →	Aug 2, 7:58 am EDT	Castle Brands IncROX	300,000	—	—	0	—
Jul 12, 2018 MForm 4 →	Jul 13, 7:49 am EDT	Castle Brands IncROX	200,000	—	—	300,000	—
Jun 28, 2018 MForm 4 →	Jun 29, 7:49 am EDT	Castle Brands IncROX	200,000	—	—	500,000	—
Feb 27, 2018 AForm 4 →	Feb 27, 9:32 pm EST	VECTOR GROUP LTDVGR	62,500	—	—	62,500	—
Nov 20, 2017 MForm 4 →	Nov 22, 7:46 am EST	Castle Brands IncROX	—	—	—	—	—
Jul 20, 2017 MForm 4 →	Jul 21, 7:18 pm EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	600,000	—	—	0	—
Jun 27, 2017 MForm 4 →	Jun 29, 7:38 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INC.LTS	20,000	—	—	0	—
Feb 23, 2017 AForm 4 →	Feb 23, 9:00 pm EST	VECTOR GROUP LTDVGR	62,500	—	—	62,500	—
Aug 30, 2016 MForm 4 →	Sep 1, 7:51 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	20,000	—	—	0	—
Aug 29, 2016 MForm 4 →	Aug 30, 7:40 am EDT	Castle Brands IncROX	100,000	—	—	700,000	—
Jul 28, 2016 MForm 4 →	Jul 29, 8:08 am EDT	Castle Brands IncROX	100,000	—	—	800,000	—
Jun 27, 2016 MForm 4 →	Jun 29, 8:00 am EDT	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	600,000	$0.88	$528,000	0	—
Jun 3, 2016 AForm 4 →	Jun 7, 5:46 pm EDT	Castle Brands IncROX	600,000	—	—	600,000	—
Mar 2, 2016 MForm 4 →	Mar 3, 7:29 am EST	Castle Brands IncROX	50,000	—	—	900,000	—
Feb 29, 2016 AForm 4 →	Feb 29, 9:16 pm EST	VECTOR GROUP LTDVGR	62,500	—	—	62,500	—
Feb 18, 2016 MForm 4 →	Feb 19, 7:17 am EST	Castle Brands IncROX	50,000	—	—	950,000	—
Jan 14, 2016 AForm 4 →	Jan 19, 5:17 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	200,000	—	—	200,000	—
Jun 2, 2015 AForm 4 →	Jun 4, 4:33 pm EDT	Castle Brands IncROX	500,000	—	—	500,000	—
Feb 24, 2015 AForm 4 →	Feb 24, 9:31 pm EST	VECTOR GROUP LTDVGR	62,500	—	—	62,500	—
Jan 20, 2015 AForm 4 →	Jan 22, 5:20 pm EST	LADENBURG THALMANN FINANCIAL SERVICES INCLTS	200,000	—	—	200,000	—