Dear Valued Visitor,

We have noticed that you are using an ad blocker software.

Although advertisements on the web pages may degrade your experience, our business certainly depends on them and we can only keep providing you high-quality research based articles as long as we can display ads on our pages.

To view this article, you can disable your ad blocker and refresh this page or simply login.

We only allow registered users to use ad blockers. You can sign up for free by clicking here or you can login if you are already a member.

Filing Details

Accession Number:
0001209191-18-064231
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-28 07:47:48
Reporting Period:
2018-12-27
Accepted Time:
2018-12-28 07:47:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1311538 Castle Brands Inc ROX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
898860 Al Et Md Phillip Frost 4400 Biscayne Boulevard
Suite 1500
Miami FL 33137
Yes No Yes No
1380896 Trust Investments Gamma Frost 4400 Biscayne Boulevard
Suite 1500
Miami FL 33137
No No Yes No
1464124 Trust Investments Nevada Frost 4400 Biscayne Boulevard
Suite 1500
Miami FL 33137
No No Yes 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 2018-12-27 75,000 $0.83 43,975,719 No 4 P Indirect Held by Frost Gamma Investments Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by Frost Gamma Investments Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 794,776 Direct
Common Stock 9,370,790 Indirect Held by Frost Nevada Investments Trust
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8179 to $0.8400, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
  2. The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  3. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.