SPILLANE THOMAS

PrivateCIK: 1355986

Location

NEW YORK, NY

SPILLANE THOMAS (Senior Vice President) reported 2 transactions at CASTLE BRANDS INC

Review the transaction codes below to understand the nature of each event.

SPILLANE THOMAS

Filed: 10/9/2019ACC: 0001209191-19-052871

InsiderSPILLANE THOMASCIK 1355986

→

IssuerCASTLE BRANDS INCCIK 1311538

Officer· Senior Vice President

Since Oct 2018

-1.32M

Net shares

Net seller

$757.6K

Total sold

0

Open market trades

0B · 0S

11

Total transactions

1.32M disposed

Non-Derivative Transactions2

Common Stock

Direct

U · U

Shares

−394.01K

Price / share

$1.27

Trade value

$500.40K

% of position

66.1%

10/8/2019

596.51K→202.50K

Common Stock

Direct

D · Disposition

Shares

−202.50K

Price / share

$1.27

Trade value

$257.18K

% of position

New position

10/8/2019

202.50K→0.00

Total

Net shares

−596.51K

Net value

-$757.57K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	10/8/2019	U · U	−394.01K	$1.27	$500.40K	66.1%	596.51K	202.50K
Common Stock Direct	10/8/2019	D · Disposition	−202.50K	$1.27	$257.18K	New position	202.50K	0.00
Total			−596.51K		-$757.57K

Derivative Transactions9

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

65K shares

Shares

−65K

Strike price

0.35

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

17.10K shares

Shares

−17.10K

Strike price

0.35

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

44.65K shares

Shares

−44.65K

Strike price

0.31

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

20.80K shares

Shares

−20.80K

Strike price

0.26

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

43.33K shares

Shares

−43.33K

Strike price

0.28

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

85K shares

Shares

−85K

Strike price

0.38

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

100K shares

Shares

−100K

Strike price

1.00

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

150K shares

Shares

−150K

Strike price

1.67

Held after

0.00

Exercisable

—

10/8/2019

Stock Option (Right to Buy)

Direct

D · Disposition

Converts to

Common Stock

200K shares

Shares

−200K

Strike price

0.90

Held after

0.00

Exercisable

—

10/8/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock65K shares	10/8/2019	D · Disposition	−65K	0.35	—	0.00
Stock Option (Right to Buy) Direct	Common Stock17.10K shares	10/8/2019	D · Disposition	−17.10K	0.35	—	0.00
Stock Option (Right to Buy) Direct	Common Stock44.65K shares	10/8/2019	D · Disposition	−44.65K	0.31	—	0.00
Stock Option (Right to Buy) Direct	Common Stock20.80K shares	10/8/2019	D · Disposition	−20.80K	0.26	—	0.00
Stock Option (Right to Buy) Direct	Common Stock43.33K shares	10/8/2019	D · Disposition	−43.33K	0.28	—	0.00
Stock Option (Right to Buy) Direct	Common Stock85K shares	10/8/2019	D · Disposition	−85K	0.38	—	0.00
Stock Option (Right to Buy) Direct	Common Stock100K shares	10/8/2019	D · Disposition	−100K	1.00	—	0.00
Stock Option (Right to Buy) Direct	Common Stock150K shares	10/8/2019	D · Disposition	−150K	1.67	—	0.00
Stock Option (Right to Buy) Direct	Common Stock200K shares	10/8/2019	D · Disposition	−200K	0.90	—	0.00