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
AND EXCHANGE COMMISSION
Washington, DC 20549
INFORMATION TO BE INCLUDED IN STATEMENT
TO § 240.13d-1(a) AND AMENDMENTS
THERETO FILED PURSUANT TO
(Amendment No. 9)*
(Name of Issuer)
(Title of Class of Securities)
4400 Biscayne Boulevard, Suite 1500
Miami, Florida 33137
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
(Date of Event Which Requires Filing of
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 ¨.
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
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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).