Filing Details
- Accession Number:
- 0001209191-19-019153
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-13 16:26:16
- Reporting Period:
- 2019-03-11
- Accepted Time:
- 2019-03-13 16:26:16
- 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 | Principal Accounting 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 | 2019-03-11 | 942 | $9.78 | 13,897 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2019-03-11 | 10,578 | $15.69 | 24,475 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2019-03-11 | 2,164 | $7.47 | 26,639 | No | 4 | M | Direct | |
Common Stock | Disposition | 2019-03-11 | 13,684 | $21.67 | 12,955 | No | 4 | S | Direct | |
Common Stock | Disposition | 2019-03-11 | 3,304 | $21.80 | 9,651 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2019-03-11 | 10,578 | $0.00 | 10,578 | $15.69 |
Common Stock | Stock Option (right to buy) | Disposition | 2019-03-11 | 2,164 | $0.00 | 2,164 | $7.47 |
Common Stock | Stock Option (right to buy) | Disposition | 2019-03-11 | 942 | $0.00 | 942 | $9.78 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2023-06-16 | No | 4 | M | Direct | |
2,163 | 2026-02-19 | No | 4 | M | Direct | |
0 | 2025-02-12 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Performance Share Units | $0.00 | 3,380 | 3,380 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
3,380 | 3,380 | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $21.39 to $21.87 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 9,651 shares of restricted common stock on which the restrictions have not yet lapsed.
- Options are fully vested.
- Options shall vest at a rate of one-quarter per annum, beginning one year from February 19, 2016, the date of grant.
- Represents shares earned based on performance under the Company's 2017-2018 Long-Term Incentive Program. These shares are subject to forfeiture restrictions that lapse at a rate of 50% on March 17, 2019 and 50% on March 17, 2020. These shares were reported originally in Table I on the reporting person's Form 4 filed February 25, 2019 but have been moved to Table II herein to align with how the shares are reflected in the issuer's equity reporting system.