Rubin Steven D

SEC source: 0001209191-19-054537 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,638

F1 · price: On October 28, 2019, the reporting person received a grant of 12,500 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vest in three equal installments on each of September 1, 2020, September 1, 2021 and September 1, 2022, subject to accelerated vesting under certain conditions.

F1 · balance_after: On October 28, 2019, the reporting person received a grant of 12,500 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis, which vest in three equal installments on each of September 1, 2020, September 1, 2021 and September 1, 2022, subject to accelerated vesting under certain conditions.

F2 · balance_after: Includes 16,666 RSUs convertible into common stock originally granted subject to both certain performance and time-based criteria on September 5, 2018. As of June 30, 2019, the issuer deemed the performance criteria had been met. As a result of the meeting the performance criteria, the remaining RSUs vest in two equal installments on each of July 1, 2020 and July 1, 2021, subject to accelerated vesting under certain conditions.

F3 · balance_after: Includes 8,000 RSUs convertible into common stock originally granted on March 29, 2018. The RSUs vest in two equal installments on each of March 29, 2020 and March 29, 2021, subject to accelerated vesting under certain conditions.

F4 · balance_after: Includes 12,000 vested RSUs in which the reporting person has elected to defer delivery until the reporting person's separation of service from the issuer or death or disability.

SEC source: 0001209191-19-054073 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,744,147

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 9

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2027-02-28

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 8

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2026-03-17

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 7

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2025-03-26

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F5 · price: In accordance with the terms of the Merger Agreement, this stock option was cancelled at the effective time of the Merger because the exercise price of the stock option exceeded $1.27 per share.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 6

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2024-03-05

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 5

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-10-15

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 4

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2021-09-12

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · derivative · entry 3

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2020-02-04

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F4 · price: In accordance with the terms of the Merger Agreement, this stock option held by the reporting person was deemed to be fully vested and cancelled and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock subject to such stock option multiplied by (ii) the excess of $1.27 over the per share exercise price of such stock option, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F3 · kind: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.

SEC source: 0001209191-19-052883 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019.

F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer.

SEC source: 0001209191-19-044729 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,472

F3 · shares: Represents the vesting of 8,334 shares of the Performance Grant. Following achievement of the Performance Criteria, the remaining 16,666 RSUs vest in two equal installments on July 1, 2020 and 2021, subject to accelerated vesting under certain conditions.

F3 · price: Represents the vesting of 8,334 shares of the Performance Grant. Following achievement of the Performance Criteria, the remaining 16,666 RSUs vest in two equal installments on July 1, 2020 and 2021, subject to accelerated vesting under certain conditions.

F4 · balance_after: Includes 12,000 vested RSUs in which the reporting person has elected to defer delivery until the reporting person's separation of service from the issuer or death or disability.

SEC source: 0001209191-19-044729 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · shares: A performance grant of Restricted Stock Units (RSUs), which is convertible into common stock of the issuer on a one-for-one basis, was originally approved by the Company's Compensation Committee on September 5, 2018 (the "Performance Grant"), subject to the Performance Criteria described below, and reported on the Company's Form 8-K on September 10, 2018 and described in the Company's definitive proxy statement filed on April 16, 2019.

F2 · price: The Performance Grant shall not vest unless and until the Company has, for any fiscal quarter through September 30, 2021 (i) gross revenue determined in accordance with the Company's reviewed or audited financial statements in excess of $7.0 million for such fiscal quarter, (ii) positive adjusted EBITDA, as determined based on the Company's reviewed or audited financial statements for such fiscal quarter, and (iii) the participant continues to provide services to the Company either as an employee, director or consultant on the last date of the quarter that the performance criteria is met (collectively, the "Performance Criteria"). If the Performance Criteria are met, the RSUs vest one-third annually on each of July 1, 2019, July 1, 2020 and July 1, 2021 ("Time-Based Vesting Requirement"). In the event of a change of control, all RSUs which have not vested on the date of such change of control shall immediately vest even if the Time-Based Vesting Requirement has not been met.

F2 · balance_after: The Performance Grant shall not vest unless and until the Company has, for any fiscal quarter through September 30, 2021 (i) gross revenue determined in accordance with the Company's reviewed or audited financial statements in excess of $7.0 million for such fiscal quarter, (ii) positive adjusted EBITDA, as determined based on the Company's reviewed or audited financial statements for such fiscal quarter, and (iii) the participant continues to provide services to the Company either as an employee, director or consultant on the last date of the quarter that the performance criteria is met (collectively, the "Performance Criteria"). If the Performance Criteria are met, the RSUs vest one-third annually on each of July 1, 2019, July 1, 2020 and July 1, 2021 ("Time-Based Vesting Requirement"). In the event of a change of control, all RSUs which have not vested on the date of such change of control shall immediately vest even if the Time-Based Vesting Requirement has not been met.

SEC source: 0001209191-19-040730 · doc4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-06-30

F1 · derivative.exercise_date: This option will vest in four equal annual installments beginning July 1, 2020.

SEC source: 0001209191-19-054064 · doc4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-06-30

F1 · derivative.exercise_date: This option will vest in four equal annual installments beginning July 1, 2020.

SEC source: 0001415889-19-000794 · form4-06242019_050645.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-06-21

F1 · derivative.exercise_date: Options vest 100% on June 21, 2020.

SEC source: 0001415889-19-000622 · form4-05292019_020546.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

SEC source: 0001209191-19-028669 · doc4.xml · nonDerivative · entry 3

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,729,147

SEC source: 0001209191-19-028669 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,721,947

SEC source: 0001209191-19-028669 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,719,347

SEC source: 0001209191-19-017607 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,719,147

SEC source: 0001209191-19-017607 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,716,712

SEC source: 0001209191-19-015090 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,000

F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Rubin is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.

SEC source: 0001209191-19-007353 · doc4.xml · derivative · entry 4

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,877 shares

Expires 2019-02-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options were granted on February 5, 2009 and vested on February 5, 2010.

SEC source: 0001209191-19-007353 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,711,147

F1 · shares: Represents the number of shares withheld by the Company for payment of the tax liability in connection with the exercise of the stock option. No shares of Common stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option, less the amount retained to pay the associated tax liability (19,232 shares).

F2 · price: Closing market price of the Company's common stock on the transaction date.

SEC source: 0001209191-19-007353 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,716,792

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-004466 · doc4.xml · derivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2019-01-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option vested in four equal annual installments commencing on January 21, 2010.

SEC source: 0001209191-19-004466 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001493152-18-013669 · ownership.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-09-20

F1 · derivative.exercise_date: The stock options vest as follows: 1/4 will vest on the one year anniversary of the grant date and the remaining 3/4 will vest in 12 equal quarterly increments.

SEC source: 0001415889-18-001026 · form4-06262018_020647.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-06-22

F1 · derivative.exercise_date: Options vest 100% on June 22, 2019.

SEC source: 0001209191-18-039171 · doc4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-06-20

F1 · derivative.exercise_date: The options were granted on June 21, 2018 and vest annually in four equal installments beginning on June 21, 2019.

SEC source: 0001209191-18-038662 · doc4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-06-15

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on June 15, 2019 (the "Cliff Vesting Date"), the remainder of the grant shall vest in equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

SEC source: 0001493152-18-008822 · form4.xml · derivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Shares · 18,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

F2 · derivative.exercise_date: The restricted stock units vest 1/3 per year annually over 3 years, beginning on June 14, 2017, subject to continued service through each vesting date.

F2 · derivative.expiration_date: The restricted stock units vest 1/3 per year annually over 3 years, beginning on June 14, 2017, subject to continued service through each vesting date.

SEC source: 0001493152-18-008822 · form4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,250

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

SEC source: 0001209191-18-022260 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

F2 · security: On March 29, 2018, the reporting person received a grant of 8,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest on March 29, 2019, subject to accelerated vesting under certain conditions.

F2 · price: On March 29, 2018, the reporting person received a grant of 8,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest on March 29, 2019, subject to accelerated vesting under certain conditions.

F2 · balance_after: On March 29, 2018, the reporting person received a grant of 8,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The RSUs vest on March 29, 2019, subject to accelerated vesting under certain conditions.

SEC source: 0001209191-18-022260 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

F1 · security: On March 29, 2018, the reporting person received a grant of 12,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three equal installments on March 29, 2019, 2020 and 2021, subject to accelerated besting under certain conditions.

F1 · price: On March 29, 2018, the reporting person received a grant of 12,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three equal installments on March 29, 2019, 2020 and 2021, subject to accelerated besting under certain conditions.

F1 · balance_after: On March 29, 2018, the reporting person received a grant of 12,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three equal installments on March 29, 2019, 2020 and 2021, subject to accelerated besting under certain conditions.

SEC source: 0001209191-18-017888 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,691,915

SEC source: 0001209191-18-016614 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Rubin is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.

SEC source: 0001493152-18-001036 · form4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Shares · 75,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Incentive Plan (the "Plan"). The board of directors of the Issuer approved the option grant on January 23, 2018 (the "Grant Date"). The options were granted pursuant to that certain option agreement entered into by and between the Issuer and the reporting person, dated January 23, 2018 (the "Option Agreement"). The options vest and become exercisable in 36 equal monthly installments beginning on the first day of the month following the Grant Date.

F2 · derivative.expiration_date: The options expire 10 years from the Grant Date unless terminated sooner in accordance with the Plan or the Option Agreement.

SEC source: 0001144204-17-064887 · tv481924_4.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,189

Underlying: Common Stock · 43,189 shares

Expires 2027-12-19

F1 · price: Such options were granted to Mr. Rubin under Sevion Therapeutics Inc.'s ("Sevion's") 2008 Incentive Compensation Plan for services performed during Sevion's fiscal year ended June 30, 2017 and the portion of Sevion's fiscal year ended June 30, 2018 leading up to the closing of Sevion's transaction with Eloxx Pharmaceuticals, Ltd. (the "Transaction"), which occurred on December 19, 2017. In connection with closing of the Transaction, Sevion effected a 1-for-20 reverse stock split and changed its corporate name to "Eloxx Pharmaceuticals, Inc." Such options were granted on a post-split basis and are immediately exercisable at an exercise price of $6.00 per share, which is equal to the closing selling price of Sevion's common stock on December 19, 2017, as reflected on a post-split basis.

SEC source: 0001415889-17-001123 · form4-07052017_030713.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-06-20

F1 · derivative.exercise_date: Options vest 100% on June 20, 2018.

SEC source: 0001493152-17-006782 · form4.xml · derivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Shares · 18,750 shares

Expires 2026-06-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

F2 · derivative.exercise_date: The restricted stock units vest 1/3 per year over 3 years, beginning on June 14, 2017, subject to continued service through each vesting date.

SEC source: 0001493152-17-006782 · form4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one common share. This transaction represents the settlement of restricted stock units in common shares on their scheduled vesting date.

SEC source: 0001209191-17-036632 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,685,915

SEC source: 0001209191-17-031490 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,683,915

SEC source: 0001209191-17-031490 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,682,496

SEC source: 0001209191-17-027058 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F2 · security: Within 30 days of the effective grant date, the reporting person may elect to defer delivery of any vested RSUs until a later date.

F3 · security: On April 13, 2017, the reporting person received a grant of 5,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The restricted stock units vest on June 1, 2017, subject to accelerated vesting under certain conditions.

F3 · price: On April 13, 2017, the reporting person received a grant of 5,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The restricted stock units vest on June 1, 2017, subject to accelerated vesting under certain conditions.

F3 · balance_after: On April 13, 2017, the reporting person received a grant of 5,000 RSUs, convertible into common stock of the issuer on a one-for-one basis. The restricted stock units vest on June 1, 2017, subject to accelerated vesting under certain conditions.

SEC source: 0001209191-17-027058 · doc4.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: On April 13, 2017, the reporting person received a grant of 20,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on June 1, 2017, 2018 and 2019, subject to accelerated vesting under certain conditions.

F2 · security: Within 30 days of the effective grant date, the reporting person may elect to defer delivery of any vested RSUs until a later date.

F1 · price: On April 13, 2017, the reporting person received a grant of 20,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on June 1, 2017, 2018 and 2019, subject to accelerated vesting under certain conditions.

F1 · balance_after: On April 13, 2017, the reporting person received a grant of 20,000 restricted stock units ("RSUs"), convertible into common stock of the issuer on a one-for-one basis. The RSUs vest in three approximately equal installments on June 1, 2017, 2018 and 2019, subject to accelerated vesting under certain conditions.

SEC source: 0001209191-17-026862 · doc4.xml · derivative · entry 4

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 265,000 shares

Expires 2017-04-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options were granted on April 14, 2010 and vest in four equal installments beginning on April 14, 2011.

SEC source: 0001209191-17-026862 · doc4.xml · nonDerivative · entry 2

Rubin Steven D · CIK 0001381874 · Director · Executive VP-Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,681,915

F1 · shares: Represents the number of shares withheld by the Company at the direction of the reporting person for payment of the exercise price and tax liability in connection with the exercise of the stock option. No shares of Common stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option, less the amount retained to pay the associated tax liability (106,664 of shares).

F2 · price: Closing market price of the Company's common stock on the transaction date.