4//SEC Filing
Scholl Dennis 4
Accession 0001209191-11-051857
CIK 0001311538other
Filed
Oct 16, 8:00 PM ET
Accepted
Oct 17, 6:24 PM ET
Size
8.5 KB
Accession
0001209191-11-051857
Insider Transaction Report
Form 4
Scholl Dennis
Director
Transactions
- Purchase
Common Stock Purchase Warrants
2011-10-14+176,570→ 176,570 total(indirect: By LLC)Exercise: $0.38From: 2011-10-14Exp: 2016-10-14→ Common Stock (176,570 underlying) - Purchase
10% Series A Convertible Preferred Stock
2011-10-14$1000.00/sh+107.354$107,354→ 107.354 total(indirect: By LLC)Exercise: $0.30From: 2011-10-14→ Common Stock (353,139 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]The securities are held by Betts & Scholl, LLC, of which the reporting person is a member. The reporting person disclaims beneficial ownership of the securities except to the extent of any pecuniary ownership therein.
- [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 0001472779
Filing Metadata
- Form type
- 4
- Filed
- Oct 16, 8:00 PM ET
- Accepted
- Oct 17, 6:24 PM ET
- Size
- 8.5 KB