0001209191-11-051854.txt : 20111017 0001209191-11-051854.hdr.sgml : 20111017 20111017182031 ACCESSION NUMBER: 0001209191-11-051854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111014 FILED AS OF DATE: 20111017 DATE AS OF CHANGE: 20111017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glover John S CENTRAL INDEX KEY: 0001425877 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 111144538 MAIL ADDRESS: STREET 1: C/O CASTLE BRANDS INC STREET 2: 570 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Castle Brands Inc CENTRAL INDEX KEY: 0001311538 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 000000000 STATE OF INCORPORATION: FL FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 BUSINESS PHONE: 646-356-0200 MAIL ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2011-10-14 0 0001311538 Castle Brands Inc ROX 0001425877 Glover John S C/O CASTLE BRANDS INC. 122 E. 42 ST., SUITE 4700 NEW YORK NY 10168 0 1 0 0 Chief Operating Officer 10% Series A Convertible Preferred Stock 0.304 2011-10-14 4 P 0 50 1000.00 A 2011-10-14 Common Stock 164474 50 D Common Stock Purchase Warrants 0.38 2011-10-14 4 P 0 82237 A 2011-10-14 2016-10-14 Common Stock 82237 82237 D The Series A Convertible Preferred Stock has no expiration date. Does not include shares of Common Stock issuable as dividends on the Series A Convertible Preferred Stock upon its conversion or a liquidation of the issuer, which dividends accrue at the rate of 10% per annum. The Common Stock Purchase Warrants were issued to the reporting person as part of the purchase of the shares of Series A Convertible Preferred Stock reported in this Form 4. /s/ John S. Glover 2011-10-17