Filing Details
- Accession Number:
- 0001179110-10-013006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-20 16:57:19
- Reporting Period:
- 2010-08-18
- Filing Date:
- 2010-08-20
- Accepted Time:
- 2010-08-20 16:57:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1179137 | D Brian Helman | C/O Rosetta Stone Inc. 1919 North Lynn Street 7Th Floor Arlington VA 22209 | Chief Financial Officer | No | Yes | No | No |
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 | Acquisiton | 2010-08-18 | 86,792 | $6.08 | 101,542 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-08-18 | 86,792 | $17.31 | 14,750 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Disposition | 2010-08-18 | 86,792 | $6.08 | 86,792 | $6.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,029 | 2017-03-21 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | $18.00 | 2019-04-15 | 18,148 | 18,148 | Direct | |
| Common Stock | Employee Stock Option | $25.99 | 2020-03-15 | 20,581 | 20,581 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-04-15 | 18,148 | 18,148 | Direct |
| 2020-03-15 | 20,581 | 20,581 | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $17.20 to $17.50 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
- 44,250 shares of restricted stock were awarded on 4/15/2009.
- Includes an aggregate of 20,029 shares represented by unvested stock awards. Option vests at 1/16 per quarter.
- Includes an aggregate of 13,611 shares represented by unvested stock awards. Option vests at 1/4 per annum.
- Includes an aggregate of 20,581 shares represented by unvested stock awards. Option vests at 1/4 per annum.
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