0001209191-16-156947.txt : 20161228 0001209191-16-156947.hdr.sgml : 20161228 20161228202406 ACCESSION NUMBER: 0001209191-16-156947 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161223 FILED AS OF DATE: 20161228 DATE AS OF CHANGE: 20161228 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Nevada Investments Trust CENTRAL INDEX KEY: 0001464124 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 162073386 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Gamma Investments Trust CENTRAL INDEX KEY: 0001380896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 162073387 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137 FORMER NAME: FORMER CONFORMED NAME: Frost Gamma Investment Trust DATE OF NAME CHANGE: 20061113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL CENTRAL INDEX KEY: 0000898860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 162073388 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-12-23 0 0001311538 Castle Brands Inc ROX 0000898860 FROST PHILLIP MD ET AL 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 1 0 1 0 0001380896 Frost Gamma Investments Trust 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 0 0 1 0 0001464124 Frost Nevada Investments Trust 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 0 0 1 0 Common Stock 2016-12-23 4 P 0 150000 0.69 A 43342540 I Held by Frost Gamma Investments Trust Common Stock 779776 D Common Stock 9370790 I Held by Frost Nevada Investments Trust The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6638 to $0.7100, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of the Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. /s/ Phillip Frost, M.D. 2016-12-28 FROST GAMMA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2016-12-28 FROST NEVADA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2016-12-28 EX-99 2 attachment1.htm EX-99 DOCUMENT

JOINT FILER INFORMATION

NAME: 				Frost Gamma Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Castle Brands Inc. (ROX)

Date of Event Requiring
Statement:			December 23, 2016

				FROST GAMMA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee



NAME: 				Frost Nevada Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Castle Brands Inc. (ROX)

Date of Event Requiring
Statement:			December 23, 2016

				FROST NEVADA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee