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4//SEC Filing

Pena Mariani Maria Alejandra 4

Accession 0001209191-19-051981

CIK 0001311538other

View on SEC.gov Company Profile

Filed

Oct 1, 8:00 PM ET

Accepted

Oct 2, 9:35 PM ET

Size

25.3 KB

Accession

0001209191-19-051981

Insider Transaction Report

Form 4

Period: 2019-09-27

Castle Brands IncROX

Pena Mariani Maria Alejandra

SVP-Marketing

Transactions

Exercise/Conversion
Common Stock
2019-09-30$0.31/sh+20,000$6,200→ 236,119 total
Exercise/Conversion
Common Stock
2019-09-30$0.38/sh+50,000$19,000→ 286,119 total
Exercise/Conversion
Common Stock
2019-09-30$0.90/sh+127,500$114,750→ 483,619 total
Exercise/Conversion
Common Stock
2019-09-30$0.26/sh+14,125$3,673→ 216,119 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-09-30−20,000→ 0 total
Exercise: $0.31Exp: 2022-06-08→ Common Stock (20,000 underlying)
Sale
Common Stock
2019-09-27$1.26/sh−10,875$13,757→ 201,994 total
Exercise/Conversion
Common Stock
2019-09-30$1.00/sh+70,000$70,000→ 356,119 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-09-30−14,125→ 0 total
Exercise: $0.26Exp: 2021-09-06→ Common Stock (14,125 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2019-09-30−50,000→ 0 total
Exercise: $0.38Exp: 2023-06-05→ Common Stock (50,000 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2019-09-30−127,500→ 42,500 total
Exercise: $0.90Exp: 2026-06-03→ Common Stock (127,500 underlying)
Sale
Common Stock
2019-09-30$1.26/sh−160,925$203,570→ 322,694 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-09-30−70,000→ 0 total
Exercise: $1.00Exp: 2024-05-28→ Common Stock (70,000 underlying)

Footnotes (5)

[F1]The option vested in four equal annual installments commencing on September 6, 2012.
[F2]The option vested in four equal annual installments commencing on June 8, 2013.
[F3]The option vested in four equal annual installments commencing on June 5, 2014.
[F4]The option vested in four equal annual installments commencing on May 28, 2015.
[F5]The option vests in four equal annual installments commencing on June 3, 2017, provided that Ms. Pena is then still an employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control."

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Castle Brands Inc

CIK 0001311538

Entity typeother

Related Parties

1

filerCIK 0001529311

Filing Metadata

Form type: 4
Filed: Oct 1, 8:00 PM ET
Accepted: Oct 2, 9:35 PM ET
Size: 25.3 KB

View on SEC.gov