Pena Mariani Maria Alejandra 4

4 · Castle Brands Inc · Filed Oct 2, 2019

Form 4

Period: 2019-09-27

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