4//SEC Filing
HALPRYN GLENN L 4
Accession 0001209191-11-051855
CIK 0001311538other
Filed
Oct 16, 8:00 PM ET
Accepted
Oct 17, 6:21 PM ET
Size
8.7 KB
Accession
0001209191-11-051855
Insider Transaction Report
Form 4
HALPRYN GLENN L
Director
Transactions
- Purchase
10% Series A Convertible Preferred Stock
2011-10-14$1000.00/sh+209.192$209,192→ 209.192 total(indirect: Held by IVC Investors, LLLP)Exercise: $0.30From: 2011-10-14→ Common Stock (688,131 underlying) - Purchase
Common Stock Purchase Warrants
2011-10-14+344,066→ 344,066 total(indirect: Held by IVC IVC Investors, LLLP)Exercise: $0.38From: 2011-10-14Exp: 2016-10-14→ Common Stock (344,066 underlying)
Footnotes (4)
- [F1]The Series A Convertible Preferred Stock has no expiration date.
- [F2]Does not include shares of Common Stock issuable as dividends on the Series A Convertible Preferred Stock upon its conversion or a liquidation of the issuer, which dividends accrue at the rate of 10% per annum.
- [F3]These securities are held by IVC Investors, LLLP,in which the reporting person has an interest. 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.
- [F4]The Common Stock Purchase Warrants were issued to the reporting person as part of the purchase of the shares of Series A Convertible Preferred Stock reported in this Form 4.
Documents
Issuer
Castle Brands Inc
CIK 0001311538
Entity typeother
Related Parties
1- filerCIK 0000938439
Filing Metadata
- Form type
- 4
- Filed
- Oct 16, 8:00 PM ET
- Accepted
- Oct 17, 6:21 PM ET
- Size
- 8.7 KB