root9B Technologies Inc. 4

Accession 0001140361-15-032145

CIK 0001272550operating

Filed

Aug 13, 8:00 PM ET

Accepted

Aug 14, 3:07 PM ET

Size

17.0 KB

Accession

0001140361-15-032145

Form 4

Period: 2015-08-11

10% Owner

Transactions

Award
Warrant (right to buy)
2015-08-11$1.20/sh+2,857,142$3,428,570→ 2,857,142 total(indirect: By Trust)
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (2,857,142 underlying)
Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−4,285,714$3,300,000→ 0 total
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Award
Warrant (right to buy)
2015-08-11$1.20/sh+4,285,714$5,142,857→ 4,285,714 total
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−2,857,142$2,199,999→ 0 total(indirect: By Trust)
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (2,857,142 underlying)

10% Owner

Transactions

Award
Warrant (right to buy)
2015-08-11$1.20/sh+2,857,142$3,428,570→ 2,857,142 total(indirect: By Trust)
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (2,857,142 underlying)
Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−4,285,714$3,300,000→ 0 total
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Award
Warrant (right to buy)
2015-08-11$1.20/sh+4,285,714$5,142,857→ 4,285,714 total
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−2,857,142$2,199,999→ 0 total(indirect: By Trust)
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (2,857,142 underlying)

10% Owner

Transactions

Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−4,285,714$3,300,000→ 0 total
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Award
Warrant (right to buy)
2015-08-11$1.20/sh+4,285,714$5,142,857→ 4,285,714 total
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (4,285,714 underlying)
Expiration (Short)
Warrant (right to buy)
2015-08-11$0.77/sh−2,857,142$2,199,999→ 0 total(indirect: By Trust)
Exercise: $0.77Exp: 2016-03-03→ Common Stock, par value $0.001 per share (2,857,142 underlying)
Award
Warrant (right to buy)
2015-08-11$1.20/sh+2,857,142$3,428,570→ 2,857,142 total(indirect: By Trust)
Exercise: $1.20From: 2017-02-11Exp: 2018-08-11→ Common Stock, par value $0.001 per share (2,857,142 underlying)

Footnotes (6)

[F1]Reflects the exchange of 4,285,714 Common Stock Purchase Warrants. Previously issued Common Stock Purchase Warrants with strike price of $0.77 and expiration date of 03/03/2016 were exercisable at the time of the transaction and have been exchanged for replacement warrants with strike price of $1.20 and expiration date of 08/11/2018. Such replacement warrants are not exercisable until 02/11/2017.
[F2]The warrants were exercisable as of the date of the warrant exchange.
[F3]These securities are owned directly by Miriam Blech, Isaac Blech's wife.
[F4]As spouses, Miriam Blech and Isaac Blech may be deemed the beneficial owner of the securities held by Miriam Blech, Isaac Blech and the trust. Each reporting person disclaims the other reporting persons' beneficial ownership of the securities reported herein, except to its, his or her pecuniary interest therein, if any.
[F5]River Charitable Remainder Unitrust f/b/o Isaac Blech ("River Trust") is the beneficial owner of more than 10% of the Issuer's common stock. Isaac Blech is the sole trustee of the River Trust.
[F6]Reflects the exchange of 2,857,142 Common Stock Purchase Warrants. Previously issued Common Stock Purchase Warrants with strike price of $0.77 and expiration date of 03/03/2016 were exercisable at the time of the transaction and have been exchanged for replacement warrants with strike price of $1.20 and expiration date of 08/11/2018. Such replacement warrants are not exercisable until 02/11/2017.

Documents

1 file

root9B Technologies Inc.

CIK 0001272550

Entity typeoperating

IncorporatedDE