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Castle Brands Inc (ROX): Billionaire Phillip Frost Filed An Amended 13D

Billionaire investor Phillip Frost filed an amended 13D regarding New York based Castle Brands Inc. (NYSE:ROX) disclosing an increase of 40 thousand shares in his holdings. Frost didn’t buy or sell any shares since 2014, the last time he filed a 13D. This time Frost has option vested that gives him the right to purchase 40K shares.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Phillip Frost, M.D 819,776 53,093,886 819,776 53,093,886 53,913,662 33.6%
Frost Gamma Investments Trust 0 43,723,096 0 43,723,096 43,723,096 27.2%
Frost Nevada Investments Trust 0 9,370,790 0 9,370,790 9,370,790 5.9%

Page 1 of 6 SEC Filing


Washington, DC 20549



TO § 240.13d-1(a) AND AMENDMENTS

§ 240.13d-2(a)


(Amendment No. 9)*

Brands Inc.

(Name of Issuer)

Stock, par value $0.01 per share

(Title of Class of Securities)


(CUSIP Number)

D. Rubin

4400 Biscayne Boulevard, Suite 1500

Miami, Florida 33137

Telephone: (305) 575-6015

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

9, 2016

(Date of Event Which Requires Filing of
this Statement)

If the filing person
has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing
this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨.

Note. Schedules
filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. See §
240.13d-7 for other parties to whom copies are to be sent.


*The remainder of this
cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover

The information required
on the remainder of this cover page shall not be deemed to be “filed” for purpose of Section 18 of the Securities Exchange
Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all
other provisions of the Act (however, see the Notes).

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