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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
  1. 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.
  2. The option vested in four equal installments on November 3, 2009, 2010, 2011 and 2012.