0001354488-16-006472.txt : 20160307
0001354488-16-006472.hdr.sgml : 20160307
20160307162138
ACCESSION NUMBER: 0001354488-16-006472
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160302
FILED AS OF DATE: 20160307
DATE AS OF CHANGE: 20160307
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: root9B Technologies, Inc.
CENTRAL INDEX KEY: 0001272550
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MANAGEMENT CONSULTING SERVICES [8742]
IRS NUMBER: 200443575
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4521 SHARON ROAD
STREET 2: SUITE 300
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
BUSINESS PHONE: 704-521-8078
MAIL ADDRESS:
STREET 1: 4521 SHARON ROAD
STREET 2: SUITE 300
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
FORMER COMPANY:
FORMER CONFORMED NAME: root9B Technologies Inc.
DATE OF NAME CHANGE: 20141201
FORMER COMPANY:
FORMER CONFORMED NAME: PREMIER ALLIANCE GROUP, INC.
DATE OF NAME CHANGE: 20041112
FORMER COMPANY:
FORMER CONFORMED NAME: CONTINUUM GROUP C INC
DATE OF NAME CHANGE: 20031210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sucoff Cary
CENTRAL INDEX KEY: 0001522151
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-50502
FILM NUMBER: 161488725
MAIL ADDRESS:
STREET 1: 7 EAST CARVER ST.
CITY: HUNTINGTON
STATE: NY
ZIP: 11780
4
1
issuerdirect_section16.xml
PRIMARY DOCUMENT
X0306
4
2016-03-02
0
0001272550
root9B Technologies, Inc.
RTNB
0001522151
Sucoff Cary
4521 SHARON ROAD
#300
CHARLOTTE
NC
28211
1
Common Stock
2016-02-29
2016-02-29
4
M
0
80000
0.77
A
378137
D
Common Stock
2016-02-29
2016-02-29
4
F
0
47573
1.29
D
32427
D
Warrant
0.77
2016-02-29
2016-02-29
4
M
0
80000
0
D
2011-03-03
2016-03-03
common stock, par value $0.001
80000
0
D
(1) Reflects 47,573 shares withheld by the Issuer at the market price of $1.29 per share less an exercise price of $0.77 per share to fund the cashless exercise of 80,000 warrants.
The transactions reported above in Table I reflect the cashless exercise of a warrant. The cashless exercise for the war
rant is reported in two lines. The first line of the cashless exercise transaction is coded M in column 3 of Table I and
reports in column 4 the number of shares issuable upon exercise of the warrants had cash been paid to exercise the warr
ants, together with the exercise price with Code A for acquired. The line coded F in column 3 of Table I relates to the
same cashless exercise on the preceding line and reports in Column 4 the number of shares deducted from the total number
of shares issuable to pay for the cashless exercise of such warrants with Code D for disposed. The number of shares on
a net basis actually owned by the Reporting Person after the cashless exercise of each warrant is the amount by which th
e first line for each cashless exercise exceeds the second line for the same cashless exercise. All transactions are exe
mpt from Section 16(b) by reason of Rule 16b-3. The transactions reported in Table II above, reflect the disposition of
the same warrants whose cashless exercise is disclosed in Table I above. The number of derivative securities owned after
the transactions reported in column 9 of Table II above includes only warrants.
/s/ Cary Sucoff
2016-03-07