Filing Details
- Accession Number:
- 0001209191-14-070549
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-21 11:27:08
- Reporting Period:
- 2014-11-18
- Filing Date:
- 2014-11-21
- Accepted Time:
- 2014-11-21 11:27:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1448587 | Micaela Pallini | Via Tiburtina, 1314 Roma L6 L6 | Yes | No | 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 | Acquisiton | 2014-11-18 | 25,475 | $0.35 | 25,475 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-18 | 25,475 | $1.80 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-11-20 | 19,020 | $0.35 | 19,020 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-20 | 19,020 | $1.80 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2014-11-18 | 25,475 | $0.00 | 25,475 | $0.35 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-11-20 | 19,020 | $0.00 | 19,020 | $0.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,525 | 2018-11-03 | No | 4 | M | Direct | |
| 55,505 | 2018-11-03 | No | 4 | M | Direct |
Footnotes
- The price reported represents the weighted average price per share. These securities were sold in multiple open market transactions at prices ranging from $1.80 to $1.81. The Reporting Person undertakes to provide the staff of the SEC, the issuer, or a shareholder of the issuer, upon request, the number of shares purchased at each separate price within the range listed above.
- The option vested in four equal installments on November 3, 2009, 2010, 2011 and 2012.
Billionaire Hedge Funds
