0001209191-11-051863.txt : 20111017 0001209191-11-051863.hdr.sgml : 20111017 20111017183536 ACCESSION NUMBER: 0001209191-11-051863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111014 FILED AS OF DATE: 20111017 DATE AS OF CHANGE: 20111017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VECTOR GROUP LTD CENTRAL INDEX KEY: 0000059440 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 111144574 BUSINESS ADDRESS: STREET 1: 100 S E SECOND ST CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 3055798000 FORMER NAME: FORMER CONFORMED NAME: BROOKE GROUP LTD DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: LIGGETT GROUP INC DATE OF NAME CHANGE: 19900815 FORMER NAME: FORMER CONFORMED NAME: LIGGETT & MYERS INC DATE OF NAME CHANGE: 19760602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Castle Brands Inc CENTRAL INDEX KEY: 0001311538 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 000000000 STATE OF INCORPORATION: FL FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 BUSINESS PHONE: 646-356-0200 MAIL ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2011-10-14 0 0001311538 Castle Brands Inc ROX 0000059440 VECTOR GROUP LTD 100 SE SECOND STREET, 32ND FLOOR MIAMI FL 33131 0 0 1 0 10% Series A Convertible Preferred Stock 0.304 2011-10-14 4 P 0 217.5397 1000.00 A 2011-10-14 Common Stock 715592 217.5397 D Common Stock Purchase Warrants 0.38 2011-10-14 4 P 0 357796 A 2011-10-14 2016-10-14 Common Stock 357796 357796 D The Series A Convertible Preferred Stock has no expiration date. Does not include shares of Common Stock issuable as dividends on the Series A Convertible Preferred Stock upon its conversion or a liquidation of the issuer, which dividends accrue at the rate of 10% per annum. The Common Stock Purchase Warrants were issued to the reporting person as part of the purchase of the shares of Series A Convertible Preferred Stock reported in this Form 4. VECTOR GROUP LTD. BY:/s/ J. Bryant Kirkland III, Vice President and Chief Financial Officer 2011-10-17