0001437749-17-010551.txt : 20170602 0001437749-17-010551.hdr.sgml : 20170602 20170602163117 ACCESSION NUMBER: 0001437749-17-010551 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170601 FILED AS OF DATE: 20170602 DATE AS OF CHANGE: 20170602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: root9B Holdings, 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: 102 N. CASCADE AVENUE STREET 2: SUITE 220 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 BUSINESS PHONE: 602-889-1137 MAIL ADDRESS: STREET 1: 102 N. CASCADE AVENUE STREET 2: SUITE 220 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 FORMER COMPANY: FORMER CONFORMED NAME: root9B Technologies, Inc. DATE OF NAME CHANGE: 20151118 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ciampi Guerino CENTRAL INDEX KEY: 0001707007 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37970 FILM NUMBER: 17888389 MAIL ADDRESS: STREET 1: 9 WARDELL AVENUE CITY: RUMSON STATE: NJ ZIP: 07760 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Guarino John CENTRAL INDEX KEY: 0001707008 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37970 FILM NUMBER: 17888390 MAIL ADDRESS: STREET 1: 75 WALL STREET STREET 2: PHL5 CITY: NEW YORK STATE: NY ZIP: 10005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Quad Capital Management Advisors LLC CENTRAL INDEX KEY: 0001615486 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37970 FILM NUMBER: 17888391 BUSINESS ADDRESS: STREET 1: 77 WATER STREET STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2122102120 MAIL ADDRESS: STREET 1: 77 WATER STREET STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 4 1 rdgdoc.xml FORM 4 X0306 4 2017-06-01 0001272550 root9B Holdings, Inc. RTNB 0001615486 Quad Capital Management Advisors LLC 77 WATER STREET, 15TH FLOOR NEW YORK NY 10005 1 0001707008 Guarino John 77 WATER STREET, 15TH FLOOR NEW YORK NY 10005 1 0001707007 Ciampi Guerino 77 WATER STREET, 15TH FLOOR NEW YORK NY 10005 1 root9B Holdings Inc. 2017-06-01 4 P 0 7500 7.82 A 570671 I By Corporation root9B Holdings Inc. 2017-06-02 4 P 0 1000 8.14 A 571671 I By Corporation The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.70 to $8.25. 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 sold at each separate price within the ranges set forth previously in this footnote. As of the date of this joint filing, Quad Capital Management Advisors owns 571,671 shares, Mr. Guarino owns 18,478 shares and Mr. Ciampi owns 97,888 shares. For that reason, Quad Capital Management Advisors may be deemed to beneficially own 688,037 Shares comprised of the shares owned jointly by the Corporation and Mssrs. Guarino and Ciampi. /s/ John Guarino 2017-06-02 /s/ Guerino Ciampi 2017-06-02