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