Filing Details
- Accession Number:
- 0001536735-14-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-04 17:37:00
- Reporting Period:
- 2014-02-28
- Filing Date:
- 2014-03-04
- Accepted Time:
- 2014-03-04 17:37:00
- 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 |
---|---|---|---|---|---|---|---|
1536735 | N Pragnesh Shah | C/O Rosetta Stone Inc. 1919 North Lynn Street, 7Th Floor Arlington VA 22209 | President, Global Consumer | 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 | Disposition | 2014-02-28 | 4,906 | $11.69 | 5,807 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2014-02-28 | 32,500 | $7.35 | 38,307 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-02-28 | 32,500 | $11.67 | 5,807 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | 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 | Disposition | 2014-02-28 | 32,500 | $0.00 | 32,500 | $7.35 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
32,500 | 2021-12-09 | 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 | $12.47 | 2023-02-21 | 8,155 | 8,155 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2023-02-21 | 8,155 | 8,155 | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $11.61 to 11.83 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 5,807 shares of restricted common stock on which the restrictions have not yet lapsed.
- This transaction was executed in multiple trades at prices ranging from $11.50 to 11.83 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.
- Options shall vest at a rate of one-quarter per annum.
- Includes an aggregate of zero fully vested options. Options shall vest at a rate of one-quarter per annum, beginning one year from December 9, 2011 in accordance with the Executive Employment Agreement entered into between Mr. Shah and the Issuer.
- Includes an aggregate of 2,039 fully vested shares. Options shall vest at a rate of one-quarter per annum, beginning one year from February 21, 2013, the date of grant.