root9B Holdings, Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-23: Reporting owner Quad Capital Management Advisors LLC; Form 4/A; Security root9B Holdings Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2017-08-23: Reporting owner Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino; Form 4; Security root9B Holdings Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2017-08-22: Reporting owner Quad Capital Management Advisors LLC; Form 4/A; Security root9B Holdings Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2017-08-22: Reporting owner Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino; Form 4; Security root9B Holdings Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-23 | Quad Capital Management Advisors LLC 10% Owner | 4/A | root9B Holdings Inc. Non-derivative · Indirect · By corporation | S Open market or private sale of non-derivative or derivative security | −125,000 502,158 owned after | $2.26 | 2017-08-25 | |
| 2017-08-23 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | S Open market or private sale of non-derivative or derivative security | −125,000 568,825 owned after | $2.26 | 2017-08-23 | |
| 2017-08-22 | Quad Capital Management Advisors LLC 10% Owner | 4/A | root9B Holdings Inc. Non-derivative · Indirect · By corporation | S Open market or private sale of non-derivative or derivative security | −253,697 627,158 owned after | $3.13 | 2017-08-25 | |
| 2017-08-22 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | S Open market or private sale of non-derivative or derivative security | −253,697 693,825 owned after | $3.13 | 2017-08-23 | |
| 2017-06-29 | Ciampi Guerino | Guarino John | Quad Capital Management Advisors LLC 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +1,000 606,535 owned after | $8.95 | 2017-06-30 | |
| 2017-06-27 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +600 605,535 owned after | $8.49 | 2017-06-28 | |
| 2017-06-23 | Ciampi Guerino | Quad Capital Management Advisors LLC | Guarino John 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +22,182 604,935 owned after | $8.14 | 2017-06-26 | |
| 2017-06-21 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +1,300 582,753 owned after | $6.95 | 2017-06-21 | |
| 2017-06-20 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +848 581,453 owned after | $6.75 | 2017-06-21 | |
| 2017-06-13 | Quad Capital Management Advisors LLC | Guarino John | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +132 580,605 owned after | $6.99 | 2017-06-14 | |
| 2017-06-12 | Ciampi Guerino | Quad Capital Management Advisors LLC | Guarino John 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +2,500 696,839 owned after | $6.80 | 2017-06-12 | |
| 2017-06-09 | Ciampi Guerino | Quad Capital Management Advisors LLC | Guarino John 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By Corporation | P Open market or private purchase of non-derivative or derivative security | +302 694,339 owned after | $6.89 | 2017-06-12 | |
| 2017-06-07 | Quad Capital Management Advisors LLC | Ciampi Guerino | Guarino John 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +6,000 577,671 owned after | $7.06 | 2017-06-08 | |
| 2017-06-02 | Quad Capital Management Advisors LLC | Guarino John | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By Corporation | P Open market or private purchase of non-derivative or derivative security | +1,000 571,671 owned after | $8.14 | 2017-06-02 | |
| 2017-06-01 | Quad Capital Management Advisors LLC | Guarino John | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By Corporation | P Open market or private purchase of non-derivative or derivative security | +7,500 570,671 owned after | $7.82 | 2017-06-02 | |
| 2017-05-26 | Ciampi Guerino | Guarino John | Quad Capital Management Advisors LLC 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +3,200 563,171 owned after | $6.82 | 2017-05-30 | |
| 2017-05-25 | Guarino John | Quad Capital Management Advisors LLC | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +10,400 559,971 owned after | $7.44 | 2017-05-26 | |
| 2017-05-23 | Quad Capital Management Advisors LLC | Guarino John | Ciampi Guerino 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +2,032 549,571 owned after | $7.30 | 2017-05-24 | |
| 2017-05-22 | Ciampi Guerino | Guarino John | Quad Capital Management Advisors LLC 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +2,779 547,539 owned after | $6.96 | 2017-05-23 | |
| 2017-05-19 | Ciampi Guerino | Guarino John | Quad Capital Management Advisors LLC 10% Owner | 10% Owner | 10% Owner | 4 | root9B Holdings Inc. Non-derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +1,538 544,760 owned after | $7.49 | 2017-05-23 | |
| 2017-05-18 holding as of filing | Quad Capital Management Advisors LLC | Ciampi Guerino | Guarino John 10% Owner | 10% Owner | 10% Owner | 3 | root9B Holdings Inc. Non-derivative · Indirect · (m) | Holding | 543,222 owned after | no price filed | 2017-05-18 | |
| 2017-05-18 holding as of filing | Quad Capital Management Advisors LLC | Ciampi Guerino | Guarino John 10% Owner | 10% Owner | 10% Owner | 3 | root9B Holdings Inc. Non-derivative · Direct · (m) | Holding | 18,478 owned after | no price filed | 2017-05-18 | |
| 2017-05-18 holding as of filing | Quad Capital Management Advisors LLC | Ciampi Guerino | Guarino John 10% Owner | 10% Owner | 10% Owner | 3 | root9B Holdings Inc. Non-derivative · Direct · (m) | Holding | 97,888 owned after | no price filed | 2017-05-18 | |
| 2015-03-26 | KING BRIAN F Officer (COO) | 4 | Stock Opton (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.45 | 2015-04-09 | |
| 2014-07-01 | Carnahan Kevin Todd Director | 4 | Stock Optiions (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.83 | 2014-10-24 |