Securities Registration: Employee Benefit Plan (s-8)
24 March 2017 - 8:24AM
Edgar (US Regulatory)
As filed with the Securities and Exchange
Commission on March 23, 2017
Registration No. 333-
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________
FORM S-8
REGISTRATION STATEMENT UNDER THE SECURITIES
ACT OF 1933
__________________
CASTLE BRANDS INC.
(Exact Name of Registrant as Specified in
Its Charter)
Florida
|
|
41-2103550
|
(State or Other Jurisdiction of
Incorporation or Organization)
|
|
(I.R.S. Employer
Identification Number)
|
122 East 42nd Street, Suite
5000,
New York, New York
|
|
10168
|
(Address of Principal Executive Offices)
|
|
(Zip Code)
|
Castle Brands Inc. 2013 Incentive Compensation
Plan, As Amended
(
Full Title
of the Plan)
Alfred J. Small
Senior Vice President, Chief Financial
Officer, Secretary and Treasurer
122 East 42nd Street, Suite 5000
New York, New York 10168
(Name and Address of Agent For Service)
(646) 356-0200
(Telephone Number, Including Area Code,
of Agent For Service)
Copies to:
Brian L. Heller, Esq.
|
Robert L. Grossman, Esq.
Joshua M. Samek, Esq.
|
Special Counsel
|
Greenberg Traurig, P.A.
|
4400 Biscayne Blvd., 12th Floor
|
333 SE 2nd Avenue, Suite 4400
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Miami, Florida 33137
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Miami, Florida 33131
|
(305) 572-4100
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(305) 579-0500
|
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions
of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2
of the Exchange Act.
Large accelerated filer
¨
|
Accelerated filer
x
|
Non-accelerated filer
¨
(Do not check
if a smaller reporting company)
|
Smaller reporting company
¨
|
CALCULATION OF REGISTRATION FEE
Title of Securities
to be registered
|
Amount to be
Registered
(1)
|
Proposed maximum
offering price
per share
(2)
|
Proposed maximum
aggregate
offering price
(2)
|
Amount of
registration fee
|
Common Stock, par value $0.01 per share, to be issued under the Castle Brands Inc. 2013 Incentive Compensation Plan, as amended (the “
Plan
”)
|
10,000,000
|
$1.13
|
$ 11,300,000.00
|
$1,309.67
|
|
(1)
|
Pursuant to Rule 416 of the Securities Act of 1933, as amended (the “
Securities Act
”),
this registration statement shall also cover any additional shares of common stock, $0.01 par value per share (“
Common
Stock
”), of Castle Brands Inc., a Florida corporation (the “
Registrant
”), that become issuable under
the Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt
of consideration that results in an increase in the number of the Registrant’s outstanding shares of Common Stock.
|
|
(2)
|
Estimated solely for the purpose of calculating the amount
of the registration fee pursuant to Rule 457(c) and Rule 457(h) under the Securities Act based upon the average of the high and
low prices per share of Common Stock as reported by the NYSE MKT on March 16, 2017.
|
EXPLANATORY NOTE
This Registration Statement on Form S-8 (this “
Registration
Statement
”) is being filed by Castle Brands Inc., a Florida corporation, for the purpose of registering a total of 10,000,000
additional shares of its common stock, par value $0.01 per share, issuable pursuant to the Castle Brands Inc. 2013 Incentive Compensation
Plan for which previously filed Registration Statement on Form S-8 (Registration No. 333-189750) is effective (the “
Prior
Registration Statement
”). Pursuant to General Instruction E to Form S-8, the contents of the Prior Registration Statement
are hereby incorporated by reference into this Registration Statement.
PART II
INFORMATION REQUIRED IN THE REGISTRATION
STATEMENT
Item
8. Exhibits.
See “Exhibit
Index” following the signature page to this Registration Statement.
SIGNATURES
Pursuant
to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets
all of the requirements for filing on Form S
-
8 and has duly caused
this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York,
State of New York, on this 23
rd
day of March, 2017.
|
CASTLE BRANDS INC.
By:
/s/ Alfred J. Small
Name: Alfred J. Small
Title: Senior Vice President, Chief Financial Officer,
Treasurer and Secretary
|
POWER OF ATTORNEY
Each person whose signature
appears below hereby appoints Richard J. Lampen, John Glover and Alfred J. Small his or her true and lawful attorney-in-fact, each
acting alone, with full powers of substitution and resubstitution, with authority to execute in the name of each such person, and
to file with the Securities and Exchange Commission, together with any exhibits thereto and other documents therewith, any and
all amendments (including without limitation post-effective amendments) to this registration statement necessary or advisable to
enable the registrant to comply with the Securities Act and any rules, regulations and requirements of the Securities and Exchange
Commission in respect thereof, which amendments may make such other changes in the registration statement as the aforesaid attorney-in-fact
executing the same deems appropriate.
Pursuant to the requirements
of the Securities Act of 1933, as amended, this registration statement has been signed by the following persons in the capacities
and on the dates indicated.
Signature
|
Title
|
Date
|
|
|
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/s/ Richard J. Lampen
Richard J. Lampen
|
President, Chief Executive Officer and Director (Principal Executive Officer)
|
March 23, 2017
|
|
|
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/s/ Alfred J. Small
Alfred J. Small
|
Senior Vice President, Chief Financial Officer, Treasurer and Secretary (Principal Financial Officer and Principal Accounting Officer)
|
March 23, 2017
|
|
|
|
/s/ Mark Andrews
Mark Andrews
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Director
|
March 23, 2017
|
|
|
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/s/ John F. Beaudette
John F. Beaudette
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Director
|
March 23, 2017
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|
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/s/ Henry C. Beinstein
Henry C. Beinstein
|
Director
|
March 23, 2017
|
|
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/s/ Phillip Frost, M.D.
Phillip Frost, M.D.
|
Director
|
March 23, 2017
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|
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/s/ Dr. Richard M. Krasno
Dr. Richard M. Krasno
|
Director
|
March 23, 2017
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|
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/s/ Steven D. Rubin
Steven D. Rubin
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Director
|
March 23, 2017
|
|
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/s/ Mark Zeitchick
Mark Zeitchick
|
Director
|
March 23, 2017
|
EXHIBIT INDEX
Exhibit Number
|
Description
|
4.1
|
Composite Articles of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to our annual report on Form 10-K for the fiscal year ended March 31, 2014 filed with the SEC on June 30, 2014).
|
|
|
4.2
|
Bylaws of the Company (incorporated by reference to Appendix E to our definitive proxy statement on Schedule 14A filed with the SEC on December 30, 2009).
|
|
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4.3
|
Castle Brands Inc. 2013 Incentive Compensation Plan (incorporated by reference to Exhibit A to our definitive proxy statement on Schedule 14A filed with the SEC on September 11, 2012).
|
|
|
4.4
|
Amendment No. 1 to the Castle Brands Inc. 2013 Incentive
Compensation Plan.
|
|
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5.1
|
Opinion of Greenberg Traurig, P.A.
|
|
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23.1
|
Consent of EisnerAmper LLP.
|
|
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23.2
|
Consent of Greenberg Traurig, P.A. (contained in its opinion filed as Exhibit 5.1 hereto).
|
|
|
24.1
|
Power of Attorney (contained on signature pages hereto).
|
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