person · Reporting owner

LAMPEN RICHARD

Disclosed activity across 4 companies

Tapewire entity: 52608
SEC CIK: 0001047092

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 row Row 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 row Row 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	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-10-08 transaction · row 1 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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	Reported balance After 2019-10-08 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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.

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 API

Purchases/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
December 14, 2018 Filed Dec 17, 2018 12:44 UTC	Castle Brands Inc ROX · Entity 154496	PurchaseCommon Stock	10,000	$0.82	$8,203.00	Disclosure SEC source: 0001209191-18-062853 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,667,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8199 to $0.8249, 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 13, 2018 Filed Dec 14, 2018 12:36 UTC	Castle Brands Inc ROX · Entity 154496	PurchaseCommon Stock	10,000	$0.81	$8,084.00	Disclosure SEC source: 0001209191-18-062552 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,657,470 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8055 to $0.81, 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
November 15, 2018 Filed Nov 16, 2018 07:36 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$2.68	$13,417.50	Disclosure SEC source: 0001209191-18-058851 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,578,671 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.62 to $2.72, 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
October 17, 2018 Filed Oct 18, 2018 07:38 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Exercise / conversionStock Option (Right to Buy) · Derivative	600,000	$0.00 Strike: $1.58	$0.00	Disclosure SEC source: 0001209191-18-055483 · 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 2018-10-30 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 October 31, 2009. Read SEC document
October 17, 2018 Filed Oct 18, 2018 07:38 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Tax withholdingCommon Stock	431,388	$2.92	$1,259,652.96	Disclosure SEC source: 0001209191-18-055483 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,573,671 F1 · kind: Represents shares withheld to cover the exercise price of the options exercised and tax withholding obligations. Read SEC document
October 17, 2018 Filed Oct 18, 2018 07:38 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Exercise / conversionCommon Stock	600,000	$1.58	$948,000.00	Disclosure SEC source: 0001209191-18-055483 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,005,059 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
October 12, 2018 Filed Oct 15, 2018 08:19 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	10,000	$2.54	$25,388.00	Disclosure SEC source: 0001209191-18-054916 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,405,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.47 to $2.60, 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
September 21, 2018 Filed Sep 24, 2018 07:51 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	50,000	$2.53	$126,430.00	Disclosure SEC source: 0001209191-18-052006 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · CEO, President & Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,395,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.49 to $2.55, 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
August 22, 2018 Filed Aug 23, 2018 11:38 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionStock Option (Right to Buy) · Derivative	100,000	$0.00 Strike: $0.35	$0.00	Disclosure SEC source: 0001209191-18-048101 · doc4.xml · derivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 100,000 shares Expires 2020-06-11 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. F2 · derivative.exercise_date: The option vested in four equal annual installments commencing on June 11, 2011. Read SEC document
August 22, 2018 Filed Aug 23, 2018 11:38 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionCommon Stock	100,000	$0.35	$35,000.00	Disclosure SEC source: 0001209191-18-048101 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,647,470 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
August 17, 2018 Filed Aug 20, 2018 08:31 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.20	$16,000.00	Disclosure SEC source: 0001209191-18-047568 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,345,059 Read SEC document
August 01, 2018 Filed Aug 2, 2018 11:58 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionStock Option (Right to Buy) · Derivative	300,000	$0.00 Strike: $0.35	$0.00	Disclosure SEC source: 0001209191-18-044825 · 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 2018-11-03 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. F2 · derivative.exercise_date: The options were granted on January 21, 2009 and vested in four equal installments beginning on January 21, 2010. Read SEC document
August 01, 2018 Filed Aug 2, 2018 11:58 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionCommon Stock	300,000	$0.35	$105,000.00	Disclosure SEC source: 0001209191-18-044825 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,547,470 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
July 12, 2018 Filed Jul 13, 2018 11:49 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionStock Option (Right to Buy) · Derivative	200,000	$0.00 Strike: $0.35	$0.00	Disclosure SEC source: 0001209191-18-042497 · doc4.xml · derivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 200,000 shares Expires 2018-11-03 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. F2 · derivative.exercise_date: The options were granted on January 21, 2009 and vested in four equal installments beginning on January 21, 2010. Read SEC document
July 12, 2018 Filed Jul 13, 2018 11:49 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionCommon Stock	200,000	$0.35	$70,000.00	Disclosure SEC source: 0001209191-18-042497 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,247,470 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
July 02, 2018 Filed Jul 3, 2018 07:39 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.40	$17,009.00	Disclosure SEC source: 0001209191-18-040531 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,340,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 to $3.41, 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
June 29, 2018 Filed Jul 2, 2018 07:33 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.43	$17,145.00	Disclosure SEC source: 0001209191-18-040130 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,335,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.42 to $3.43, 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
June 28, 2018 Filed Jun 29, 2018 07:50 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	10,000	$3.50	$35,017.00	Disclosure SEC source: 0001209191-18-039997 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,330,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.46 to $3.56, 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
June 28, 2018 Filed Jun 29, 2018 11:49 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionStock Option (Right to Buy) · Derivative	200,000	$0.00 Strike: $0.35	$0.00	Disclosure SEC source: 0001209191-18-039994 · doc4.xml · derivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 200,000 shares Expires 2018-11-03 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. F2 · derivative.exercise_date: The options were granted on January 21, 2009 and vested in four equal installments beginning on January 21, 2010. Read SEC document
June 28, 2018 Filed Jun 29, 2018 11:49 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionCommon Stock	200,000	$0.35	$70,000.00	Disclosure SEC source: 0001209191-18-039994 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,047,470 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
June 27, 2018 Filed Jun 28, 2018 08:02 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.57	$17,847.50	Disclosure SEC source: 0001209191-18-039773 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,320,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.56 to $3.58, 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
June 25, 2018 Filed Jun 26, 2018 07:37 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.57	$17,838.00	Disclosure SEC source: 0001209191-18-039489 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,315,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.555 to $3.590, 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 13, 2018 Filed Apr 16, 2018 07:52 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.30	$16,511.00	Disclosure SEC source: 0001209191-18-024891 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 73,333 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 to $3.32, 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. F2 · 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 12, 2018 Filed Apr 13, 2018 07:33 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.20	$15,982.00	Disclosure SEC source: 0001209191-18-024798 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,310,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.19 to $3.21, 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 06, 2018 Filed Apr 9, 2018 07:53 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.10	$15,500.00	Disclosure SEC source: 0001209191-18-024271 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 68,333 F1 · 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 02, 2018 Filed Apr 3, 2018 07:55 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	5,000	$3.09	$15,473.00	Disclosure SEC source: 0001209191-18-022630 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,305,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.08 to $3.10, 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
March 29, 2018 Filed Mar 30, 2018 08:11 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	10,000	$3.30	$32,957.00	Disclosure SEC source: 0001209191-18-022175 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,300,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.28 to $3.32, 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
March 28, 2018 Filed Mar 28, 2018 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	9,000	$0.00	$0.00	Disclosure SEC source: 0000899243-18-008769 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,264 Read SEC document
March 28, 2018 Filed Mar 29, 2018 07:52 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	PurchaseCommon Stock	20,000	$3.25	$64,978.00	Disclosure SEC source: 0001209191-18-022010 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,290,059 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.235 to $3.270, 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
March 08, 2018 Filed Mar 8, 2018 20:01 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	22,000	$0.00	$0.00	Disclosure SEC source: 0000899243-18-006855 · doc4.xml · nonDerivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 5,605 Read SEC document
March 07, 2018 Filed Mar 8, 2018 20:01 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	11,000	$0.00	$0.00	Disclosure SEC source: 0000899243-18-006855 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 27,605 F1 · shares: Amount includes a transfer of 11,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. F1 · acquired: Amount includes a transfer of 11,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document
March 07, 2018 Filed Mar 8, 2018 20:01 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	11,000	$0.00	$0.00	Disclosure SEC source: 0000899243-18-006855 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,264 F1 · shares: Amount includes a transfer of 11,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. F1 · acquired: Amount includes a transfer of 11,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document
February 27, 2018 Filed Feb 27, 2018 21:32 UTC	VECTOR GROUP LTD VGR · Entity 12970	GrantEmployee Stock Option (right to buy) · Derivative	62,500	$0.00 Strike: $20.30	$0.00	Disclosure SEC source: 0000899243-18-005736 · 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 2028-02-27 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
January 22, 2018 Filed Jan 22, 2018 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	2,700	$0.00	$0.00	Disclosure SEC source: 0000899243-18-001626 · doc4.xml · nonDerivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 16,605 Read SEC document
January 22, 2018 Filed Jan 22, 2018 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	14,000	$0.00	$0.00	Disclosure SEC source: 0000899243-18-001626 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 19,305 F1 · shares: Amount includes a transfer of 14,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. F1 · acquired: Amount includes a transfer of 14,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document
January 22, 2018 Filed Jan 22, 2018 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	16,700	$0.00	$0.00	Disclosure SEC source: 0000899243-18-001626 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,264 F1 · shares: Amount includes a transfer of 14,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. F1 · acquired: Amount includes a transfer of 14,000 shares to spouse. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document
January 12, 2018 Filed Jan 17, 2018 17:14 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	GrantCommon Stock	325,000	$0.00	$0.00	Disclosure SEC source: 0001209191-18-004033 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,270,059 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
December 28, 2017 Filed Dec 29, 2017 16:53 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	GiftCommon Stock	25,000	$0.00	$0.00	Disclosure SEC source: 0001209191-17-067645 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,945,059 F1 · kind: Transfer of shares as a charitable donation. Read SEC document
November 20, 2017 Filed Nov 22, 2017 12:46 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversion5% Subordinated Convertible Note due 2018 · Derivative	Not disclosed	$50,000.00 Strike: $0.90	$50,000.00	Disclosure SEC source: 0001209191-17-062229 · doc4.xml · derivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: Not disclosed Underlying: Common Stock · 56,065 shares Expires 2018-12-15 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.underlying_shares: Based on the initial principal amount of the 5% Subordinated Convertible Promissory Note and accrued but unpaid interest thereon as of the date of conversion. Read SEC document
November 20, 2017 Filed Nov 22, 2017 12:46 UTC	Castle Brands Inc ROX · Entity 154496	Exercise / conversionCommon Stock	56,065	$0.90	$50,458.50	Disclosure SEC source: 0001209191-17-062229 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,016,065 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
October 12, 2017 Filed Oct 12, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	3,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-024152 · doc4.xml · nonDerivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 5,305 Read SEC document
October 12, 2017 Filed Oct 12, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	3,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-024152 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,964 Read SEC document
October 12, 2017 Filed Oct 12, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	5,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-024152 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,964 Read SEC document
August 09, 2017 Filed Aug 9, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	15,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-019989 · doc4.xml · nonDerivative · entry 3 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 2,196 Read SEC document
August 08, 2017 Filed Aug 9, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-019989 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 17,196 Read SEC document
August 08, 2017 Filed Aug 9, 2017 21:00 UTC	VECTOR GROUP LTD VGR · Entity 12970	GiftCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0000899243-17-019989 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,252 Read SEC document
July 20, 2017 Filed Jul 21, 2017 19:18 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Exercise / conversionStock Option (Right to Buy) · Derivative	600,000	$0.00 Strike: $2.30	$0.00	Disclosure SEC source: 0001209191-17-046020 · 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 · 600,000 shares Expires 2017-07-25 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. F3 · derivative.exercise_date: The options were granted on July 26, 2007 and vested in four equal installments beginning on July 26, 2008. Read SEC document
July 20, 2017 Filed Jul 21, 2017 19:18 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Tax withholdingCommon Stock	572,412	$2.49	$1,425,305.88	Disclosure SEC source: 0001209191-17-046020 · doc4.xml · nonDerivative · entry 2 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,970,059 Read SEC document
July 20, 2017 Filed Jul 21, 2017 19:18 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Exercise / conversionCommon Stock	600,000	$2.30	$1,380,000.00	Disclosure SEC source: 0001209191-17-046020 · doc4.xml · nonDerivative · entry 1 LAMPEN RICHARD · CIK 0001047092 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,542,471 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
June 27, 2017 Filed Jun 29, 2017 07:38 UTC	LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198	Exercise / conversionStock Option (Right to Buy) · Derivative	20,000	$0.00 Strike: $2.30	$0.00	Disclosure SEC source: 0001209191-17-042204 · 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 · 20,000 shares Expires 2017-06-28 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.