Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Douglas Elliman Inc.DOUG · Entity 6469 | Director | April 10, 2026 | April 14, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Douglas Elliman Inc.
Report date April 10, 2026 · Filed April 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,244,447 |
Reported balance
After 2026-04-10 transaction · row 1
1 source rowRow 1 · 2026-04-10 · Grant · Acquired 90,910 · Balance 1,244,447 F1: On April 10, 2026 the Issuer granted the Reporting Person a restricted stock award of 90,910 shares of Issuer Common Stock pursuant to Issuer's 2021 Management Incentive Plan. The award will vest on April 10, 2027, subject to the Reporting Person's continued service through such vesting date or earlier vesting upon the Reporting Person's death or disability or a change-of-control. |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 3,243 |
Reported balance
Holding disclosure · report date 2026-04-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,243 F2: The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 10, 2026 the Issuer granted the Reporting Person a restricted stock award of 90,910 shares of Issuer Common Stock pursuant to Issuer's 2021 Management Incentive Plan. The award will vest on April 10, 2027, subject to the Reporting Person's continued service through such vesting date or earlier vesting upon the Reporting Person's death or disability or a change-of-control.
F2: The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Castle Brands Inc
Report date October 08, 2019 · Filed October 10, 2019
Section 16 reporting ended · disclosed 2019-10-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 1
1 source rowRow 1 · 2019-10-08 · Other · Disposed 2,797,470 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 0 |
Reported balance
After 2019-10-08 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-10-08 · Other · Disposed 1,016,065 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.35 · Expires 2020-06-11 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-08 · Disposition to issuer · Disposed 300,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F4: The option vested in four equal annual installments commencing on June 11, 2011. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.33 · Expires 2021-06-20 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F6: The option vested in four equal annual installments commencing on June 20, 2012. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.31 · Expires 2022-06-08 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F7: The option vested in four equal annual installments commencing on June 8, 2013. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.38 · Expires 2023-06-05 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F8: The option vested in four equal annual installments commencing on June 5, 2014. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2024-05-28 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F9: The option vested in four equal annual installments commencing on May 28, 2015. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.67 · Expires 2025-06-02 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F11: 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. F10: The option vested in four equal annual installments commencing on June 2, 2016. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2026-06-03 | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-10-08 · Disposition to issuer · Disposed 600,000 · Balance 0 F1: 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 or officer of Issuer, effective on October 9, 2019. F5: 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. F12: The option vests in four equal annual installments commencing on June 3, 2017, provided that Mr. Lampen is then still a director or employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control." |
Filing footnotes · ownership attribution and instrument terms
F1: 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 or officer of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F4: The option vested in four equal annual installments commencing on June 11, 2011.
F5: 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.
F6: The option vested in four equal annual installments commencing on June 20, 2012.
F7: The option vested in four equal annual installments commencing on June 8, 2013.
F8: The option vested in four equal annual installments commencing on June 5, 2014.
F9: The option vested in four equal annual installments commencing on May 28, 2015.
F10: The option vested in four equal annual installments commencing on June 2, 2016.
F11: 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.
F12: The option vests in four equal annual installments commencing on June 3, 2017, provided that Mr. Lampen is then still a director or employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control."
LADENBURG THALMANN FINANCIAL SERVICES INC.
Report date February 12, 2020 · Filed February 14, 2020
Section 16 reporting ended · disclosed 2020-02-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 1
1 source rowRow 1 · 2020-02-14 · Disposition to issuer · Disposed 3,324,916 · Balance 0 F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. |
| Common StockSEC Table I · non-derivative | IndirectBy wife | 0 |
Reported balance
After 2020-02-14 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-02-14 · Disposition to issuer · Disposed 83,333 · Balance 0 F3: Disposed of in connection with the Merger. F4: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
| 8.00% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative | IndirectBy wife | 200 |
Reported balance
After 2020-02-12 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-02-12 · Sale · Disposed 4,000 · Balance 200 F5: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013. F4: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.28 · Expires 2021-03-02 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-14 · Disposition to issuer · Disposed 600,000 · Balance 0 F6: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.80 · Expires 2022-01-30 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-14 · Disposition to issuer · Disposed 600,000 · Balance 0 F7: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.40 · Expires 2023-01-28 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-14 · Disposition to issuer · Disposed 300,000 · Balance 0 F8: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2024-01-17 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-02-14 · Disposition to issuer · Disposed 400,000 · Balance 0 F9: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.25 · Expires 2025-01-20 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-02-14 · Disposition to issuer · Disposed 200,000 · Balance 0 F10: This option, which provided for vesting in four equal annual installments, commencing on January 20, 2016, was cancelled in the Merger because the exercise price was greater than the Per Share Merger Consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.65 · Expires 2026-01-14 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-02-14 · Disposition to issuer · Disposed 200,000 · Balance 0 F11: This option, which provided for vesting in four equal annual installments, commencing on January 14, 2017, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan.
F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes.
F3: Disposed of in connection with the Merger.
F4: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F5: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
F6: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F7: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F8: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F9: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F10: This option, which provided for vesting in four equal annual installments, commencing on January 20, 2016, was cancelled in the Merger because the exercise price was greater than the Per Share Merger Consideration.
F11: This option, which provided for vesting in four equal annual installments, commencing on January 14, 2017, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
VECTOR GROUP LTD
Report date October 05, 2024 · Filed October 07, 2024
Section 16 reporting ended · disclosed 2024-10-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 315,000 |
Reported balance
After 2024-10-05 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2024-10-05 · Other · Disposed 557,578 · Balance 315,000 F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of August 21, 2024 (the "Merger Agreement"), by and among the Issuer, JTI (US) Holding Inc. ("Parent") and Vapor Merger Sub Inc. ("Merger Sub"), pursuant to which Merger Sub completed a cash tender offer (the "Offer") for all outstanding shares of the common stock, par value $0.10 per share, of the Issuer (each, an "Issuer Share"), at a purchase price of $15.00 per share, which Offer expired at one minute after 11:59 p.m., Eastern Time on October 4, 2024. These Issuer Shares were tendered for purchase pursuant to the Offer. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-10-07 transaction · row 4
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 4 · 2024-10-07 · Disposition to issuer · Disposed 607,500 · Balance 0 F4: Disposed in connection with the transactions contemplated by the Merger Agreement, pursuant to which, on October 7, 2024, Merger Sub was merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. As a result of the Merger, each Issuer Share was canceled and extinguished and automatically converted into the right to receive an amount in cash equal to $15.00 (the "Merger Consideration"). F5: Pursuant to the Merger Agreement, each award of restricted stock of the Issuer, excluding any Company Performance-Based RSAs (each, a "Company Time-Based RSA") that was outstanding as of immediately prior to the Effective Time, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Time-Based RSA and (ii) the Merger Consideration (together with any accrued and unpaid dividends corresponding to the Issuer Shares subject to such Company Time-Based RSA immediately prior to the Effective Time, to the extent provided for under the applicable award agreement). |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 0 |
Reported balance
After 2024-10-05 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-10-05 · Other · Disposed 6,179 · Balance 0 F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of August 21, 2024 (the "Merger Agreement"), by and among the Issuer, JTI (US) Holding Inc. ("Parent") and Vapor Merger Sub Inc. ("Merger Sub"), pursuant to which Merger Sub completed a cash tender offer (the "Offer") for all outstanding shares of the common stock, par value $0.10 per share, of the Issuer (each, an "Issuer Share"), at a purchase price of $15.00 per share, which Offer expired at one minute after 11:59 p.m., Eastern Time on October 4, 2024. These Issuer Shares were tendered for purchase pursuant to the Offer. F2: The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
| Common Stock (underlying performance-based restricted stock)SEC Table I · non-derivative | Direct | 607,500 |
Reported balance
After 2024-10-07 transaction · row 3
1 source rowRow 3 · 2024-10-07 · Grant · Acquired 292,500 · Balance 607,500 F3: Pursuant to the Merger Agreement, each award of performance-based restricted stock of the Issuer, excluding any awards of restricted stock with vesting subject to time-vesting only (each, a "Company Performance-Based RSA") that was outstanding as of immediately prior to the Effective Time (as defined in the Merger Agreement) was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Performance-Based RSA (based on the full number of Issuer Shares subject to such Company Performance-Based RSA) and (ii) the Merger Consideration (as defined below) (together with any accrued and unpaid dividends corresponding to the Issuer Shares subject to such Company Performance-Based RSA immediately prior to the Effective Time, to the extent provided for under the applicable award agreement). |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.92 · Expires 2029-02-27 | Direct | 0 |
Reported balance
After 2024-10-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-10-07 · Disposition to issuer · Disposed 65,625 · Balance 0 F6: Pursuant to the Merger Agreement, each option to purchase an Issuer Share which has a per share exercise price that was less than the Merger Consideration (each, a "Company Option"), and outstanding and unexercised as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Option and (ii) the excess, if any, of (x) the Merger Consideration over (y) the per share exercise price of such Company Option. The number and exercise price of the Company Options have been adjusted to give effect to the 5% stock dividend paid to the stockholders of the Company on September 27, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of August 21, 2024 (the "Merger Agreement"), by and among the Issuer, JTI (US) Holding Inc. ("Parent") and Vapor Merger Sub Inc. ("Merger Sub"), pursuant to which Merger Sub completed a cash tender offer (the "Offer") for all outstanding shares of the common stock, par value $0.10 per share, of the Issuer (each, an "Issuer Share"), at a purchase price of $15.00 per share, which Offer expired at one minute after 11:59 p.m., Eastern Time on October 4, 2024. These Issuer Shares were tendered for purchase pursuant to the Offer.
F2: The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F3: Pursuant to the Merger Agreement, each award of performance-based restricted stock of the Issuer, excluding any awards of restricted stock with vesting subject to time-vesting only (each, a "Company Performance-Based RSA") that was outstanding as of immediately prior to the Effective Time (as defined in the Merger Agreement) was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Performance-Based RSA (based on the full number of Issuer Shares subject to such Company Performance-Based RSA) and (ii) the Merger Consideration (as defined below) (together with any accrued and unpaid dividends corresponding to the Issuer Shares subject to such Company Performance-Based RSA immediately prior to the Effective Time, to the extent provided for under the applicable award agreement).
F4: Disposed in connection with the transactions contemplated by the Merger Agreement, pursuant to which, on October 7, 2024, Merger Sub was merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. As a result of the Merger, each Issuer Share was canceled and extinguished and automatically converted into the right to receive an amount in cash equal to $15.00 (the "Merger Consideration").
F5: Pursuant to the Merger Agreement, each award of restricted stock of the Issuer, excluding any Company Performance-Based RSAs (each, a "Company Time-Based RSA") that was outstanding as of immediately prior to the Effective Time, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Time-Based RSA and (ii) the Merger Consideration (together with any accrued and unpaid dividends corresponding to the Issuer Shares subject to such Company Time-Based RSA immediately prior to the Effective Time, to the extent provided for under the applicable award agreement).
F6: Pursuant to the Merger Agreement, each option to purchase an Issuer Share which has a per share exercise price that was less than the Merger Consideration (each, a "Company Option"), and outstanding and unexercised as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the aggregate number of Issuer Shares subject to such Company Option and (ii) the excess, if any, of (x) the Merger Consideration over (y) the per share exercise price of such Company Option. The number and exercise price of the Company Options have been adjusted to give effect to the 5% stock dividend paid to the stockholders of the Company on September 27, 2019.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 27, 2020 Filed May 29, 2020 21:02 UTC | VECTOR GROUP LTD VGR · Entity 12970 | GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-014638 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,486 F1 · shares: On May 27, 2020, the Issuer awarded the Reporting Person a restricted stock grant of 75,000 shares of the Issuer's Common Stock pursuant to the Issuer's 2014 Management Incentive Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided the Reporting Person is then still an employee of the issuer, subject to earlier vesting upon his death or disability, termination of the employee without good reason and change-of-control. Read SEC document |
| May 18, 2020 Filed May 20, 2020 18:31 UTC | VECTOR GROUP LTD VGR · Entity 12970 | PurchaseCommon Stock | 25,000 | $10.85 | $271,250.00 |
DisclosureSEC source: 0000899243-20-013735 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,486 F1 · shares: Represents common shares acquired in an underwritten public offering. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 200,000 | $0.85 Strike: $2.65 | $170,000.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 9 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2026-01-14 F11 · price: This option, which provided for vesting in four equal annual installments, commencing on January 14, 2017, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F11 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 14, 2017, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $4.25 | $0.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 8 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2025-01-20 F10 · price: This option, which provided for vesting in four equal annual installments, commencing on January 20, 2016, was cancelled in the Merger because the exercise price was greater than the Per Share Merger Consideration. F10 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 20, 2016, was cancelled in the Merger because the exercise price was greater than the Per Share Merger Consideration. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 400,000 | $0.25 Strike: $3.25 | $100,000.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 7 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires 2024-01-17 F9 · price: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F9 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 300,000 | $2.10 Strike: $1.40 | $630,000.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 6 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 300,000 shares Expires 2023-01-28 F8 · price: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F8 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 600,000 | $0.70 Strike: $2.80 | $420,000.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 5 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2022-01-30 F7 · price: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F7 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 600,000 | $2.22 Strike: $1.28 | $1,332,000.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · derivative · entry 4 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2021-03-02 F6 · price: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F6 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 83,333 | $3.50 | $291,665.50 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 0 F3 · price: Disposed of in connection with the Merger. F4 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 3,324,916 | $3.50 | $11,637,206.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2 · price: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 15:21 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Sale8.00% Series A Cumulative Redeemable Preferred Stock | 4,000 | $25.11 | $100,456.00 |
DisclosureSEC source: 0001493152-20-002475 · ownership.xml · nonDerivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 200 F5 · shares: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013. F5 · balance_after: The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013. F4 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 17:17 UTC | VECTOR GROUP LTD VGR · Entity 12970 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 260,620 | $0.00 Strike: $8.67 | $0.00 |
DisclosureSEC source: 0000899243-19-027711 · doc4.xml · derivative · entry 4 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2019-12-03 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: All shares have been adjusted to reflect the 5% stock dividend, which was paid by the Issuer on September 27, 2019. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 17:17 UTC | VECTOR GROUP LTD VGR · Entity 12970 | Tax withholdingCommon Stock | 211,027 | $12.46 | $2,629,396.42 |
DisclosureSEC source: 0000899243-19-027711 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,486 F1 · balance_after: All shares have been adjusted to reflect the 5% stock dividend, which was paid by the Issuer on September 27, 2019. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 17:17 UTC | VECTOR GROUP LTD VGR · Entity 12970 | Exercise / conversionCommon Stock | 260,620 | $8.67 | $2,259,575.40 |
DisclosureSEC source: 0000899243-19-027711 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 482,513 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 · balance_after: All shares have been adjusted to reflect the 5% stock dividend, which was paid by the Issuer on September 27, 2019. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 600,000 | Not disclosed Strike: $0.90 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 9 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2026-06-03 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F12 · derivative.exercise_date: The option vests in four equal annual installments commencing on June 3, 2017, provided that Mr. Lampen is then still a director or employee of the Company, subject to earlier vesting in the event of death, disability or a "Change of Control." Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $1.67 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 8 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2025-06-02 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 or officer of Issuer, effective on October 9, 2019. F11 · 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. F10 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 2, 2016. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 7 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2024-05-28 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F9 · derivative.exercise_date: The option vested in four equal annual installments commencing on May 28, 2015. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.38 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 6 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-06-05 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F8 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 5, 2014. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.31 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 5 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2022-06-08 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F7 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 8, 2013. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 4 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2021-06-20 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F6 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 20, 2012. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 300,000 | Not disclosed Strike: $0.35 | Not disclosed |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · derivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 300,000 shares Expires 2020-06-11 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 or officer of Issuer, effective on October 9, 2019. F5 · 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. F4 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 11, 2011. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 1,016,065 | $1.27 | $1,290,402.55 |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse 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 or officer of Issuer, effective on October 9, 2019. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:46 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 2,797,470 | $1.27 | $3,552,786.90 |
DisclosureSEC source: 0001209191-19-052891 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 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 or officer of Issuer, effective on October 9, 2019. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 07:48 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.13 | $31,326.00 |
DisclosureSEC source: 0001209191-19-034102 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,324,916 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.10 to $3.19, 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. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 07:51 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.23 | $32,295.00 |
DisclosureSEC source: 0001209191-19-033773 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,314,916 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.229 to $3.240, 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. Read SEC document |
| May 30, 2019 Filed May 31, 2019 07:46 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.37 | $33,668.00 |
DisclosureSEC source: 0001209191-19-033547 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,304,916 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.355 to $3.380, 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. Read SEC document |
| May 23, 2019 Filed May 24, 2019 07:48 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.34 | $33,399.00 |
DisclosureSEC source: 0001209191-19-032549 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,294,916 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.285 to $3.370, 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. Read SEC document |
| May 22, 2019 Filed May 23, 2019 07:57 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.35 | $33,515.00 |
DisclosureSEC source: 0001209191-19-032197 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,284,916 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.34 to $3.36, 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. Read SEC document |
| May 17, 2019 Filed May 17, 2019 19:11 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 600,000 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0001209191-19-031127 · doc4.xml · derivative · entry 5 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2020-01-14 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. F4 · derivative.exercise_date: The option vested in four equal annual installments commencing on January 14, 2011. Read SEC document |
| May 17, 2019 Filed May 17, 2019 19:11 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 333,755 | $3.39 | $1,131,429.45 |
DisclosureSEC source: 0001209191-19-031127 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,274,916 F1 · kind: Represents shares withheld to cover the exercise price of the options exercised and tax withholding obligations. Read SEC document |
| May 17, 2019 Filed May 17, 2019 19:11 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 600,000 | $0.90 | $540,000.00 |
DisclosureSEC source: 0001209191-19-031127 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,608,671 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. Read SEC document |
| May 16, 2019 Filed May 17, 2019 07:30 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.31 | $33,139.00 |
DisclosureSEC source: 0001209191-19-030667 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,008,671 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.285 to $3.330, 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. Read SEC document |
| April 15, 2019 Filed Apr 16, 2019 07:35 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.43 | $34,301.00 |
DisclosureSEC source: 0001209191-19-024671 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,998,671 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.42 to $3.44, 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. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 07:55 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.24 | $32,377.00 |
DisclosureSEC source: 0001209191-19-024325 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 83,333 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.23 to $3.24, 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 (2) to this Form 4. F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 07:55 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 10,000 | $3.24 | $32,363.00 |
DisclosureSEC source: 0001209191-19-024325 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,988,671 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.23 to $3.25, 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. Read SEC document |
| February 27, 2019 Filed Feb 27, 2019 21:00 UTC | VECTOR GROUP LTD VGR · Entity 12970 | GrantEmployee Stock Option (right to buy) · Derivative | 62,500 | $0.00 Strike: $11.46 | $0.00 |
DisclosureSEC source: 0000899243-19-005106 · doc4.xml · derivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 Underlying: Common Stock · 62,500 shares Expires 2029-02-27 F1 · derivative.exercise_date: Subject to acceleration upon a "change of control" (as defined) or termination of employment due to death or disability. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 12:36 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.80 | $7,957.00 |
DisclosureSEC source: 0001209191-19-011865 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,797,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7879 to $0.8000, 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. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 12:40 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.80 | $7,986.00 |
DisclosureSEC source: 0001209191-19-011407 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,787,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7903 to $0.8026, 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. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 12:48 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.80 | $8,008.00 |
DisclosureSEC source: 0001209191-19-010853 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,777,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7997 to $0.8030, 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. Read SEC document |
| January 18, 2019 Filed Jan 22, 2019 12:42 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.90 | $8,962.00 |
DisclosureSEC source: 0001209191-19-004662 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,767,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8865 to $0.9043, 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. Read SEC document |
| January 17, 2019 Filed Jan 18, 2019 12:27 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.91 | $9,094.00 |
DisclosureSEC source: 0001209191-19-004468 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.903 to $0.91, 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. Read SEC document |
| January 15, 2019 Filed Jan 16, 2019 12:58 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.89 | $8,941.00 |
DisclosureSEC source: 0001209191-19-003829 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,747,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8918 to $0.8963, 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. Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 12:30 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.92 | $9,153.00 |
DisclosureSEC source: 0001209191-19-003652 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,737,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.93, 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. Read SEC document |
| January 11, 2019 Filed Jan 14, 2019 12:33 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.89 | $8,862.00 |
DisclosureSEC source: 0001209191-19-003505 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,727,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.869 to $0.8982, 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. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 12:47 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.84 | $8,390.00 |
DisclosureSEC source: 0001209191-19-003369 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,717,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.835 to $0.841, 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. Read SEC document |
| January 10, 2019 Filed Jan 14, 2019 07:39 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-003509 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,978,671 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Lampen is then still an employee or director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| January 09, 2019 Filed Jan 10, 2019 12:43 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.84 | $8,423.00 |
DisclosureSEC source: 0001209191-19-003189 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,707,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8401 to $0.8450, 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. Read SEC document |
| December 24, 2018 Filed Dec 26, 2018 12:55 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.80 | $7,974.00 |
DisclosureSEC source: 0001209191-18-064040 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,697,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7923 to $0.80, 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. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 12:39 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.80 | $7,977.00 |
DisclosureSEC source: 0001209191-18-063600 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,687,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7886 to $0.80, 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. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 12:32 UTC | Castle Brands Inc ROX · Entity 154496 | PurchaseCommon Stock | 10,000 | $0.84 | $8,437.00 |
DisclosureSEC source: 0001209191-18-063051 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,677,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8409 to $0.8450, 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.