Filing Details
- Accession Number:
- 0001209191-19-032369
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-23 17:25:09
- Reporting Period:
- 2019-05-22
- Accepted Time:
- 2019-05-23 17:25:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1549271 | M Thomas Pierno | C/O Rosetta Stone Inc. 1621 North Kent Street, Suite 1200 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 | 2019-05-22 | 80,293 | $0.00 | 203,067 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-22 | 80,293 | $23.91 | 122,774 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-05-23 | 31,070 | $11.96 | 153,844 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-23 | 31,070 | $24.05 | 122,774 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Stock Option | Disposition | 2019-05-22 | 50,000 | $0.00 | 50,000 | $10.55 |
| Common Stock | Stock Option | Disposition | 2019-05-22 | 8,155 | $0.00 | 8,155 | $12.47 |
| Common Stock | Stock Option | Disposition | 2019-05-22 | 22,138 | $0.00 | 22,138 | $11.96 |
| Common Stock | Stock Option | Disposition | 2019-05-23 | 31,070 | $0.00 | 31,070 | $11.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-05-04 | 2022-05-04 | No | 4 | M | Direct |
| 0 | 2014-02-21 | 2023-02-21 | No | 4 | M | Direct |
| 31,070 | 2015-02-14 | 2024-02-14 | No | 4 | M | Direct |
| 0 | 2015-02-14 | 2024-02-14 | No | 4 | M | Direct |
Footnotes
- Shares were acquired at varying exercise prices, as shown in Table II.
- This transaction was executed in multiple trades at prices ranging from $23.79 to $24.61 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 $23.69 to $24.28 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 43,001 shares of restricted common stock on which the restrictions have not yet lapsed.
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