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