Page 3 of 6 SEC Filing CUSIP No. 148435100 13D/A Page 3 of 6 Pages
1 Names of Reporting Persons
Frost Gamma Investments Trust
2 Check The Appropriate Box if a Member of a Group (see instructions) (a) ¨ (b) ¨ 3 SEC Use Only
4 Source of Funds
(see instructions)
WC
5 Check
if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or
2(e)
¨
6 Citizenship or Place
of Organization
Florida
Number
of
Shares
Beneficially
Owned
by
Each
Reporting
Person
With
7 Sole Voting Power
0
8 Shared Voting Power
43,723,096 (1)
9 Sole Dispositive Power
0
10 Shared Dispositive Power
43,723,096 (1)
11 Aggregate Amount Beneficially
Owned by Each Reporting Person
43,723,096 (1)
12 Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
¨
13 Percent of Class Represented
by Amount in Row 11
27.2% (2)
14 Type of Reporting Person
(see instructions)
OO
(1) Includes (i) 43,167,540 Common Shares held by the Gamma Trust and (ii) 555,556 Common Shares issuable upon conversion of $500,000
aggregate principal amount of the Convertible Note held by the Gamma Trust. Does not include Common Shares issuable upon the conversion
of accrued but unpaid interest on the Convertible Note, which is payable in cash on a quarterly basis; the Convertible Note and
accrued but unpaid interest thereon is convertible into Common Shares in whole or in part from time to time at the option of the
holder.
(2) The calculation of the percentage is based on (i) 160,034,464
Common Shares outstanding as of February 8, 2016, as reported on the 10-Q filed on February 9, 2016, and (ii) 555,556 Common Shares
issuable upon conversion of $500,000 aggregate principal amount of the Convertible Note held by the Gamma Trust.
Follow Castle Brands Inc (NYSEMKT:ROX)
Follow Castle Brands Inc (NYSEMKT:ROX)
We may use your email to send marketing emails about our services. Click here to read our privacy policy.
| CUSIP No. 148435100 | 13D/A | Page 3 of 6 Pages |
| 1 | Names of Reporting Persons Frost Gamma Investments Trust
| |||
| 2 | Check The Appropriate Box if a Member of a Group | |||
| (see instructions) | (a) ¨ | |||
| (b) ¨ | ||||
| 3 | SEC Use Only | |||
| 4 | Source of Funds WC | |||
| 5 | Check ¨ | |||
| 6 | Citizenship or Place Florida | |||
|
Number Shares Beneficially Owned Each Reporting Person | 7 | Sole Voting Power 0 | ||
| 8 | Shared Voting Power 43,723,096 (1) | |||
| 9 | Sole Dispositive Power 0 | |||
| 10 | Shared Dispositive Power 43,723,096 (1) | |||
| 11 | Aggregate Amount Beneficially 43,723,096 (1) | |||
| 12 | Check ¨ | |||
| 13 | Percent of Class Represented 27.2% (2) | |||
| 14 | Type of Reporting Person OO | |||
(1) Includes (i) 43,167,540 Common Shares held by the Gamma Trust and (ii) 555,556 Common Shares issuable upon conversion of $500,000
aggregate principal amount of the Convertible Note held by the Gamma Trust. Does not include Common Shares issuable upon the conversion
of accrued but unpaid interest on the Convertible Note, which is payable in cash on a quarterly basis; the Convertible Note and
accrued but unpaid interest thereon is convertible into Common Shares in whole or in part from time to time at the option of the
holder.
(2) The calculation of the percentage is based on (i) 160,034,464
Common Shares outstanding as of February 8, 2016, as reported on the 10-Q filed on February 9, 2016, and (ii) 555,556 Common Shares
issuable upon conversion of $500,000 aggregate principal amount of the Convertible Note held by the Gamma Trust.
