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
  1. 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.
  2. Includes 5,807 shares of restricted common stock on which the restrictions have not yet lapsed.
  3. 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.
  4. Options shall vest at a rate of one-quarter per annum.
  5. 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.
  6. 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.