PENA MARIANI MARIA ALEJANDRA (SVP-Marketing) sold 34.7% of their position (171.80K shares) of CASTLE BRANDS INC on the open market

Open‑market sale worth $217.3K — a major position exit. Review remaining holdings and any 10b5‑1 plan disclosures.

S · 2 sales

PENA MARIANI MARIA ALEJANDRA

Filed: 10/2/2019ACC: 0001209191-19-051981

InsiderPENA MARIANI MARIA ALEJANDRACIK 1529311

→

IssuerCASTLE BRANDS INCCIK 1311538

Officer· SVP-Marketing

Since Apr 2019

-171.80K

Net shares

Net seller

$217.3K

Total sold

Open market trades

0B · 2S

Total transactions

281.63K acquired · 453.43K disposed

Non-Derivative Transactions7

Common Stock

Direct

S · Sale

−10.88K

Price / share

$1.26

Trade value

$13.76K

% of position

5.1%

9/27/2019

212.87K→201.99K

Common Stock

Direct

M · Option Exercise

+14.13K

Price / share

$0.26

Trade value

$3.67K

% of position

7.0%

9/30/2019

201.99K→216.12K

Common Stock

Direct

M · Option Exercise

+20K

Price / share

$0.31

Trade value

$6.20K

% of position

9.3%

9/30/2019

216.12K→236.12K

Common Stock

Direct

M · Option Exercise

+50K

Price / share

$0.38

Trade value

$19K

% of position

21.2%

9/30/2019

236.12K→286.12K

Common Stock

Direct

M · Option Exercise

+70K

Price / share

$1.00

Trade value

$70K

% of position

24.5%

9/30/2019

286.12K→356.12K

Common Stock

Direct

M · Option Exercise

+127.50K

Price / share

$0.90

Trade value

$114.75K

% of position

35.8%

9/30/2019

356.12K→483.62K

Common Stock

Direct

S · Sale

−160.93K

Price / share

$1.26

Trade value

$203.57K

% of position

33.3%

9/30/2019

483.62K→322.69K

Total

Net shares

+109.83K

Net value

-$3.70K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	9/27/2019	S · Sale	−10.88K	$1.26	$13.76K	5.1%	212.87K	201.99K
Common Stock Direct	9/30/2019	M · Option Exercise	+14.13K	$0.26	$3.67K	7.0%	201.99K	216.12K
Common Stock Direct	9/30/2019	M · Option Exercise	+20K	$0.31	$6.20K	9.3%	216.12K	236.12K
Common Stock Direct	9/30/2019	M · Option Exercise	+50K	$0.38	$19K	21.2%	236.12K	286.12K
Common Stock Direct	9/30/2019	M · Option Exercise	+70K	$1.00	$70K	24.5%	286.12K	356.12K
Common Stock Direct	9/30/2019	M · Option Exercise	+127.50K	$0.90	$114.75K	35.8%	356.12K	483.62K
Common Stock Direct	9/30/2019	S · Sale	−160.93K	$1.26	$203.57K	33.3%	483.62K	322.69K
Total			+109.83K		-$3.70K

Derivative Transactions5

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

14.13K shares

−14.13K

Strike price

0.26

Held after

0.00

Exercisable

—

9/30/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

20K shares

−20K

Strike price

0.31

Held after

0.00

Exercisable

—

9/30/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

50K shares

−50K

Strike price

0.38

Held after

0.00

Exercisable

—

9/30/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

70K shares

−70K

Strike price

1.00

Held after

0.00

Exercisable

—

9/30/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

127.50K shares

−127.50K

Strike price

0.90

Held after

42.50K

Exercisable

—

9/30/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock14.13K shares	9/30/2019	M · Option Exercise	−14.13K	0.26	—	0.00
Stock Option (Right to Buy) Direct	Common Stock20K shares	9/30/2019	M · Option Exercise	−20K	0.31	—	0.00
Stock Option (Right to Buy) Direct	Common Stock50K shares	9/30/2019	M · Option Exercise	−50K	0.38	—	0.00
Stock Option (Right to Buy) Direct	Common Stock70K shares	9/30/2019	M · Option Exercise	−70K	1.00	—	0.00
Stock Option (Right to Buy) Direct	Common Stock127.50K shares	9/30/2019	M · Option Exercise	−127.50K	0.90	—	42.50K