root9B Holdings, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-09: Reporting owner Hoke William; Form 4/A; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-09: Reporting owner Hoke William; Form 4; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-14: Reporting owner GRANO JOSEPH J JR; Form 4; Security Options (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-11-14: Reporting owner GRANO JOSEPH J JR; Form 4; Security Options (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-09 | Hoke William Officer (CFO) | 4/A | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $10.45 exercise price | 2016-12-16 | |
| 2016-12-09 | Hoke William Officer (CFO) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $10.00 exercise price | 2016-12-12 | |
| 2016-11-14 | GRANO JOSEPH J JR Director, Officer (CEO and Chairman) | 4 | Options (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,036,842 0 owned after | $0.76 exercise price | 2016-11-16 | |
| 2016-11-14 | GRANO JOSEPH J JR Director, Officer (CEO and Chairman) | 4 | Options (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +528,789 528,789 owned after | $0.76 exercise price | 2016-11-16 | |
| 2016-11-01 | Hipkins Eric Scott | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,325,893 1,325,893 owned after | $0.68 exercise price | 2016-12-12 | |
| 2016-07-22 | SIEGEL SEYMOUR Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-07-22 | BLECH ISAAC Director, 10% Owner | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-07-22 | Morris Gregory C Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-07-22 | Carnahan Kevin Todd Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-07-22 | SARTOR ANTHONY Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-07-22 | Sucoff Cary Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.07 exercise price | 2016-07-26 | |
| 2016-05-31 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 155,000 owned after | $0.65 exercise price | 2016-06-01 | |
| 2016-05-23 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 180,000 owned after | $0.65 exercise price | 2016-05-31 | |
| 2016-05-17 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 205,000 owned after | $0.65 exercise price | 2016-05-18 | |
| 2016-05-06 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 230,000 owned after | $0.65 exercise price | 2016-05-09 | |
| 2016-05-05 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 250,000 owned after | $0.65 exercise price | 2016-05-09 | |
| 2016-05-03 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 270,000 owned after | $0.65 exercise price | 2016-05-05 | |
| 2016-04-18 | Clark Wesley Director | 4 | option to purchase (common stock, par value $.001) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +10,000 290,000 owned after | $0.65 exercise price | 2016-04-20 | |
| 2016-01-22 holding as of filing | Effinger Michael J. Officer (Chief Financial Officer) | 3 | Option (right to buy) Derivative · Direct | Holding | $1.34 exercise price | 2016-01-22 |