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 | 388,220 |
Reported balance
After 2026-04-10 transaction · row 1
1 source rowRow 1 · 2026-04-10 · Grant · Acquired 90,910 · Balance 388,220 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. |
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.
Past disclosures · reporting ended (2)
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 |
Ending reported balance
After 2019-10-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-10-08 · Other · Disposed 7,500 · Balance 22,500 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 of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. Row 2 · 2019-10-08 · Disposition to issuer · Disposed 22,500 · 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 of Issuer, effective on October 9, 2019. F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. |
| Common StockSEC Table I · non-derivative | IndirectHeld by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member | 0 |
Reported balance
After 2019-10-08 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-10-08 · Other · Disposed 80,000 · 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 of Issuer, effective on October 9, 2019. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.07 · Expires 2024-03-05 | 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 100,000 · 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 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 March 5, 2015. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.46 · Expires 2025-03-26 | 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 20,000 · 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 of Issuer, effective on October 9, 2019. F6: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2026-03-17 | 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 20,000 · 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 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.04 · Expires 2027-02-28 | 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 20,000 · 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 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. |
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 of Issuer, effective on October 9, 2019.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld.
F4: The option vested in four equal annual installments commencing on March 5, 2015.
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: 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.
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 |
|---|---|---|---|
| 8.00% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative | IndirectHeld by the Mark D. Zeitchick 2016 Revocable Trust | 0 |
Reported balance
After 2020-02-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-02-12 · Sale · Disposed 4,000 · Balance 0 F1: 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. F2: The reporting person is the trustee of the above-listed trust. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 2
1 source rowRow 2 · 2020-02-14 · Disposition to issuer · Disposed 531,250 · Balance 0 F3: Represents restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F4: 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 | IndirectHeld by the Mark D. Zeitchick 2016 Revocable Trust | 0 |
Reported balance
After 2020-02-14 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-02-14 · Disposition to issuer · Disposed 3,789,541 · Balance 0 F5: Disposed of in connection with the Merger. F2: The reporting person is the trustee of the above-listed trust. |
| 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: 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.
F2: The reporting person is the trustee of the above-listed trust.
F3: Represents restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan.
F4: 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.
F5: Disposed of in connection with the Merger.
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.
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 |
|---|---|---|---|---|---|---|
| April 10, 2026 Filed Apr 14, 2026 21:15 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | GrantCommon Stock | 90,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001093960-26-000002 · wk-form4_1776201341.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 388,220 F1 · price: 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. Read SEC document |
| July 10, 2024 Filed Jul 12, 2024 12:15 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | PurchaseCommon Stock | 40,000 | $1.18 | $47,196.00 |
DisclosureSEC source: 0000950170-24-083072 · ownership.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 297,310 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.175 to $1.18, 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 ranges set forth in this footnote. Read SEC document |
| July 09, 2024 Filed Jul 10, 2024 21:00 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | PurchaseCommon Stock | 54,437 | $1.16 | $62,983.61 |
DisclosureSEC source: 0000950170-24-082749 · ownership.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 257,310 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.14 to $1.16, 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 ranges set forth in this footnote. Read SEC document |
| July 08, 2024 Filed Jul 10, 2024 21:00 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | PurchaseCommon Stock | 58,313 | $1.10 | $64,144.30 |
DisclosureSEC source: 0000950170-24-082749 · ownership.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,873 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.095 to $1.10, 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 ranges set forth in this footnote. Read SEC document |
| May 06, 2024 Filed May 9, 2024 01:00 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | GrantCommon Stock | 81,560 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-056158 · ownership.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,560 F1 · price: On May 6, 2024 the Issuer granted the Reporting Person a restricted stock award of 81,560 shares of Issuer Common Stock pursuant to Issuer's 2021 Management Incentive Plan. The award will vest in two equal annual installments on each of May 6, 2025 and May 6, 2026, subject to the Reporting Person's continued service through each such vesting date or earlier vesting upon the Reporting Person's death or disability or a change-of-control. F2 · balance_after: All shares have been adjusted to reflect 5% stock dividend, which was paid by the Issuer on June 30, 2023 Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 23:00 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-008770 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 F1 · price: On March 14, 2023 the Issuer granted the Reporting Person a restricted stock award of 30,000 shares of Issuer Common Stock pursuant to Issuer's 2021 Management Incentive Plan. The award will vest in two equal annual installments commencing on December 15, 2023, subject to the Reporting Person's continued service through each such vesting date or earlier vesting upon the Reporting Person's death or disability or a change-of-control. Read SEC document |
| December 31, 2021 Filed Jan 4, 2022 02:00 UTC | Douglas Elliman Inc. DOUG · Entity 6469 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-000228 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · shares: On December 31, 2021, the Issuer granted the Reporting Person a restricted stock award of 30,000 shares of Issuer Common Stock pursuant to Issuer's 2021 Management Incentive Plan. The award will vest in two equal annual installments commencing on December 15, 2022, subject to the Reporting Person's continued service through each such vesting date or earlier vesting upon the Reporting Person's death or disability or a change-of-control. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 9 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 8 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 7 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 6 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 5 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 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: 0001493152-20-002484 · ownership.xml · derivative · entry 4 ZEITCHICK MARK · CIK 0001093960 · 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 20:29 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 3,789,541 | $3.50 | $13,263,393.50 |
DisclosureSEC source: 0001493152-20-002484 · ownership.xml · nonDerivative · entry 3 ZEITCHICK MARK · CIK 0001093960 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 0 F5 · price: Disposed of in connection with the Merger. F2 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 20:29 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 531,250 | $3.50 | $1,859,375.00 |
DisclosureSEC source: 0001493152-20-002484 · ownership.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Represents restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F4 · 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 20:29 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Sale8.00% Series A Cumulative Redeemable Preferred Stock | 4,000 | $25.07 | $100,280.00 |
DisclosureSEC source: 0001493152-20-002484 · ownership.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Former Director and Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 0 F1 · 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. F2 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.04 | Not disclosed |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · derivative · entry 7 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2027-02-28 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $0.84 | Not disclosed |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · derivative · entry 6 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2026-03-17 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 20,000 | Not disclosed Strike: $1.46 | Not disclosed |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · derivative · entry 5 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2025-03-26 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F6 · 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. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | Not disclosed Strike: $1.07 | Not disclosed |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · derivative · entry 4 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2024-03-05 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. 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 March 5, 2015. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 80,000 | $1.27 | $101,600.00 |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · nonDerivative · entry 3 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member Disclosed balance after: 0 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | Disposition to issuerCommon Stock | 22,500 | $1.27 | $28,575.00 |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F3 · kind: In accordance with the terms of the Merger Agreement, the restricted stock awards held by the reporting person were deemed to be fully vested and converted at the effective time of the Merger into the right to receive a cash payment, without interest, equal to the product of (i) the aggregate number of shares of the Issuer's Common Stock in respect of such restricted stock awards multiplied by (ii) $1.27, less any taxes required to be withheld. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 00:27 UTC | Castle Brands Inc ROX · Entity 154496 | OtherCommon Stock | 7,500 | $1.27 | $9,525.00 |
DisclosureSEC source: 0001209191-19-052869 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · date: On October 8, 2019, Rook Merger Sub, Inc. ("Purchaser"), a wholly owned subsidiary of Austin, Nichols & Co., Inc. ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Castle Brands Inc. ("Issuer") pursuant to that certain Agreement and Plan of Merger, dated August 28, 2019 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on October 9, 2019, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on October 9, 2019. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| May 17, 2019 Filed May 17, 2019 23:15 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: 0001209191-19-031135 · doc4.xml · derivative · entry 5 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 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 23:15 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 333,755 | $3.39 | $1,131,429.45 |
DisclosureSEC source: 0001209191-19-031135 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,267,448 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 23:15 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 600,000 | $0.90 | $540,000.00 |
DisclosureSEC source: 0001209191-19-031135 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,601,203 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 |
| April 11, 2019 Filed Apr 12, 2019 11:53 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 3,000 | $3.37 | $10,110.00 |
DisclosureSEC source: 0001209191-19-024443 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 3,053,343 F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.365 to $3.37, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 (3) to this Form 4. F2 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| April 11, 2019 Filed Apr 12, 2019 11:53 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 7,000 | $3.38 | $23,657.90 |
DisclosureSEC source: 0001209191-19-024443 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 3,050,343 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.375 to $3.38, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 is the trustee of the above-listed trust. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 22:06 UTC | Castle Brands Inc ROX · Entity 154496 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-015093 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Zeitchick is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| January 20, 2019 Filed Jan 24, 2019 00:55 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 19,358 | $3.10 | $60,009.80 |
DisclosureSEC source: 0001209191-19-005059 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,001,203 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 23:06 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 24,961 | $3.01 | $75,132.61 |
DisclosureSEC source: 0001209191-19-003783 · doc4.xml · nonDerivative · entry 3 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,020,561 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 13, 2019 Filed Jan 15, 2019 23:06 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 27,834 | $3.12 | $86,842.08 |
DisclosureSEC source: 0001209191-19-003783 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,045,522 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 12, 2019 Filed Jan 15, 2019 23:06 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 32,894 | $3.12 | $102,629.28 |
DisclosureSEC source: 0001209191-19-003783 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,073,356 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 10, 2019 Filed Jan 14, 2019 12:45 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-003515 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,106,250 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. Zeitchick 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. F2 · balance_after: Includes the transfer of 168,612 shares previously held directly by the reporting person to the Mark D. Zeitchick 2016 Revocable Trust. Read SEC document |
| October 17, 2018 Filed Oct 18, 2018 11:36 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 |
DisclosureSEC source: 0001209191-18-055481 · doc4.xml · derivative · entry 5 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 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 11:36 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 431,388 | $2.92 | $1,259,652.96 |
DisclosureSEC source: 0001209191-18-055481 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874,862 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 11:36 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 600,000 | $1.58 | $948,000.00 |
DisclosureSEC source: 0001209191-18-055481 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,306,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 11:47 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 15,000 | $2.61 | $39,106.50 |
DisclosureSEC source: 0001209191-18-054463 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 2,874,731 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.57 to $2.62, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 is the trustee of the above-listed trust. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 12:30 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 5,000 | $3.20 | $15,999.50 |
DisclosureSEC source: 0001209191-18-047566 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 2,859,731 F1 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| June 27, 2018 Filed Jun 28, 2018 11:57 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 5,000 | $3.47 | $17,347.50 |
DisclosureSEC source: 0001209191-18-039771 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 2,854,731 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.4650 to $3.4699, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 is the trustee of the above-listed trust. Read SEC document |
| April 13, 2018 Filed Apr 16, 2018 11:50 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 5,000 | $3.30 | $16,482.50 |
DisclosureSEC source: 0001209191-18-024889 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark D. Zeitchick 2016 Revocable Trust Disclosed balance after: 2,849,731 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.29 to $3.2999, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 · balance_after: Includes the transfer of 114,448 shares previously held directly by the reporting person to the Mark D. Zeitchick 2016 Revocable Trust. F3 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 11:59 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | PurchaseCommon Stock | 5,000 | $3.12 | $15,600.00 |
DisclosureSEC source: 0001209191-18-022632 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 820,698 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.1199 to $3.12, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 01, 2018 Filed Mar 5, 2018 22:07 UTC | Castle Brands Inc ROX · Entity 154496 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016620 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's 2013 Incentive Compensation Plan, as amended. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Zeitchick is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| January 20, 2018 Filed Jan 24, 2018 02:36 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 19,392 | $3.13 | $60,696.96 |
DisclosureSEC source: 0001209191-18-005013 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,698 Read SEC document |
| January 14, 2018 Filed Jan 17, 2018 22:27 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 24,957 | $3.21 | $80,111.97 |
DisclosureSEC source: 0001209191-18-004046 · doc4.xml · nonDerivative · entry 3 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 835,090 Read SEC document |
| January 13, 2018 Filed Jan 17, 2018 22:27 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 27,453 | $3.21 | $88,124.13 |
DisclosureSEC source: 0001209191-18-004046 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,047 Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 22:27 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 325,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004046 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887,500 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. Zeitchick 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. F2 · balance_after: Includes the transfer of 617,947 shares previously held directly by the reporting person to the Mark D. Zeitchick 2016 Revocable Trust. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 21:52 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GiftCommon Stock | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-067644 · doc4.xml · nonDerivative · entry 2 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by the Mark Zeitchick 2016 Revocable Trust Disclosed balance after: 598,125 F1 · kind: Transfer of shares as a charitable donation. F3 · balance_after: Includes the transfer of 617,125 shares from MZ Trading LLC. F4 · ownership.nature: The reporting person is the trustee of the above-listed trust. Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 21:52 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GiftCommon Stock | 5,847 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-067644 · doc4.xml · nonDerivative · entry 1 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,180,447 F1 · kind: Transfer of shares as a charitable donation. F2 · balance_after: Includes the transfer of 1,186,294 shares from MZ Trading LLC. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 21:04 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 |
DisclosureSEC source: 0001209191-17-045985 · doc4.xml · derivative · entry 4 ZEITCHICK MARK · CIK 0001093960 · Director · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member 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. F2 · derivative.exercise_date: The options were granted on July 26, 2007 and vested in four equal annual installments beginning on July 26, 2008. 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.