Filing Details
- Accession Number:
- 0001209191-19-051981
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-02 21:35:22
- Reporting Period:
- 2019-09-27
- Accepted Time:
- 2019-10-02 21:35:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1311538 | Castle Brands Inc | ROX | Beverages (2080) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1529311 | Alejandra Maria Mariani Pena | C/O Castle Brands Inc. 122 E. 42 St., Suite 5000 New York NY 10168 | Svp-Marketing | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2019-09-27 | 10,875 | $1.27 | 201,994 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-30 | 14,125 | $0.26 | 216,119 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-09-30 | 20,000 | $0.31 | 236,119 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-09-30 | 50,000 | $0.38 | 286,119 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-09-30 | 70,000 | $1.00 | 356,119 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-09-30 | 127,500 | $0.90 | 483,619 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-30 | 160,925 | $1.27 | 322,694 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-09-30 | 14,125 | $0.00 | 14,125 | $0.26 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-09-30 | 20,000 | $0.00 | 20,000 | $0.31 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-09-30 | 50,000 | $0.00 | 50,000 | $0.38 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-09-30 | 70,000 | $0.00 | 70,000 | $1.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-09-30 | 127,500 | $0.00 | 127,500 | $0.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-09-06 | No | 4 | M | Direct | |
| 0 | 2022-06-08 | No | 4 | M | Direct | |
| 0 | 2023-06-05 | No | 4 | M | Direct | |
| 0 | 2024-05-28 | No | 4 | M | Direct | |
| 42,500 | 2026-06-03 | No | 4 | M | Direct |
Footnotes
- The option vested in four equal annual installments commencing on September 6, 2012.
- The option vested in four equal annual installments commencing on June 8, 2013.
- The option vested in four equal annual installments commencing on June 5, 2014.
- The option vested in four equal annual installments commencing on May 28, 2015.
- The option vests in four equal annual installments commencing on June 3, 2017, provided that Ms. Pena is then still an employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control."
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