0001209191-19-042698.txt : 20190718
0001209191-19-042698.hdr.sgml : 20190718
20190718191348
ACCESSION NUMBER: 0001209191-19-042698
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190716
FILED AS OF DATE: 20190718
DATE AS OF CHANGE: 20190718
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Small Alfred
CENTRAL INDEX KEY: 0001418815
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32849
FILM NUMBER: 19962162
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
X0306
4
2019-07-16
0
0001311538
Castle Brands Inc
ROX
0001418815
Small Alfred
C/O CASTLE BRANDS INC.
122 E. 42ND ST, SUITE 5000
NEW YORK
NY
10168
0
1
0
0
SVP, CFO, TREAS. & SECRETARY
Common Stock
2019-07-16
4
A
0
90000
0.00
A
564512
D
Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Small is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.
Includes 11,036 shares of common stock acquired under the Issuer's employee stock purchase plan.
/s/ Alfred J. Small
2019-07-18