Filing Details
- Accession Number:
- 0001351285-18-000042
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-14 17:37:21
- Reporting Period:
- 2018-03-12
- Accepted Time:
- 2018-03-14 17:37:21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1351285 | Rosetta Stone Inc | RST | Services-Prepackaged Software (7372) | 043837082 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1641165 | Sean M. Hartford | C/O Rosetta Stone Inc. 1621 North Kent Street, Suite 1200 Arlington VA 22209 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2018-03-12 | 2,652 | $13.92 | 15,496 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-03-12 | 2,956 | $11.96 | 18,452 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-12 | 943 | $9.78 | 19,395 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-12 | 2,164 | $7.47 | 21,559 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-12 | 6,063 | $13.84 | 15,496 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-03-12 | 2,956 | $0.00 | 2,956 | $11.96 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-03-12 | 943 | $0.00 | 943 | $9.78 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-03-12 | 2,164 | $0.00 | 2,164 | $7.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-02-13 | No | 4 | A | Direct | |
| 942 | 2025-02-12 | No | 4 | A | Direct | |
| 4,327 | 2026-02-19 | No | 4 | A | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $13.90 to $13.93 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $13.82 to $13.89 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Includes 11,999 shares of restricted common stock on which the restrictions have not yet lapsed.
- Options vested at a rate of one-quarter per annum, beginning one year from February 14, 2014, the date of grant.
- Options shall vest at a rate of one-quarter per annum, beginning one year from February 12, 2015, the date of grant.
- Options shall vest at a rate of one-quarter per annum, beginning one year from February 19, 2016, the date of grant.
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