Delaware | 41-2103550 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
Large accelerated filer o | Accelerated filer o |
Non-accelerated filer
o
(Do not check if a smaller reporting company) |
Smaller reporting company þ |
Title of securities | Amount to be | Proposed maximum | Proposed maximum | Amount of | ||||||||||||||||||
to be registered | registered (1) | offering price per share (4) | aggregate offering price | registration fee | ||||||||||||||||||
Common Stock, $.01 par value
(Common Stock)
|
2,134,547 | (2) | $ | 0.24 | $ | 512,291.28 | $ | 28.59 | ||||||||||||||
Common Stock
|
7,865,453 | (3) | $ | 0.215 | $ | 1,691,072.30 | $ | 94.36 | ||||||||||||||
Total
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10,000,000 | $ | 122.95 | |||||||||||||||||||
(1) | Pursuant to Rule 416, this registration statement also covers any additional shares of Common Stock as may be issuable under the anti-dilution provisions of the Castle Brands Inc. 2003 Stock Incentive Plan, as amended (the Plan). | |
(2) | Consists of Common Stock issued as restricted stock awards under the Plan and Common Stock issuable pursuant to the exercise of options granted prior to the date hereof under the Plan. | |
(3) | Consists of Common Stock to be issued in the future under the Plan. | |
(4) | For Common Stock issuable for outstanding awards, calculated pursuant to Rule 457(h), based on the weighted average per share exercise price of outstanding awards granted under the Plan. For Common Stock to be issued in the future under the Plan, calculated pursuant to Rules 457(c) and 457(h) based on the average of the high and low prices as reported on the NYSE Amex on June 30, 2009. |
CASTLE BRANDS INC.
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By: | /s/ Alfred J. Small | |||
Name: | Alfred J. Small | |||
Title: | Senior Vice President, Chief Financial Officer, Secretary and Treasurer |
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3
4
EXHIBIT
NUMBER
DESCRIPTION
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
5
23.1
23.2
24
*
Filed herewith
Re: |
Offering of Shares Pursuant to
Registration Statement on Form S-8 |
Very truly yours,
|
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/s/ BRIAN L. HELLER, ESQ. | ||||
Brian L. Heller, Esq. | ||||
Assistant Secretary and Special Counsel |