Rocket Fuel Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-09-06: Reporting owner PITTENGER RICHARD; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-06: Reporting owner PITTENGER RICHARD; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-06: Reporting owner Gosen David; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-06: Reporting owner Gosen David; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-09-06 | PITTENGER RICHARD Officer (SVP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −325,000 0 owned after | $2.70 exercise price | 2017-09-06 | |
| 2017-09-06 | PITTENGER RICHARD Officer (SVP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −62,500 0 owned after | $2.31 exercise price | 2017-09-06 | |
| 2017-09-06 | Gosen David Officer (SVP, Intl & GM, Platform) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.41 exercise price | 2017-09-06 | |
| 2017-09-06 | Gosen David Officer (SVP, Intl & GM, Platform) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 0 owned after | $2.31 exercise price | 2017-09-06 | |
| 2017-09-06 | Song Richard Officer (Chief Revenue Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $3.19 exercise price | 2017-09-06 | |
| 2017-09-06 | Snyder Stephen Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −380,000 0 owned after | $1.82 exercise price | 2017-09-06 | |
| 2017-09-06 | LEWIS JOHN JASPER Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,778 0 owned after | $3.12 exercise price | 2017-09-06 | |
| 2017-09-06 | LEWIS JOHN JASPER Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,060 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | LEWIS JOHN JASPER Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | Frankel Richard A. Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −360,796 0 owned after | $2.23 exercise price | 2017-09-06 | |
| 2017-09-06 | Frankel Richard A. Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $3.65 exercise price | 2017-09-06 | |
| 2017-09-06 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $29.00 exercise price | 2017-09-06 | |
| 2017-09-06 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $23.59 exercise price | 2017-09-06 | |
| 2017-09-06 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,582 0 owned after | $8.47 exercise price | 2017-09-06 | |
| 2017-09-06 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,060 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $29.00 exercise price | 2017-09-06 | |
| 2017-09-06 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $23.59 exercise price | 2017-09-06 | |
| 2017-09-06 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,582 0 owned after | $8.47 exercise price | 2017-09-06 | |
| 2017-09-06 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,060 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,000 0 owned after | $11.21 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $29.00 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $23.59 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,582 0 owned after | $8.47 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,060 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −125,870 0 owned after | $0.16 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $29.00 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $23.59 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −42,211 0 owned after | $8.75 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −87,000 0 owned after | $5.11 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −223,533 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $29.00 exercise price | 2017-09-06 | |
| 2017-09-06 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $23.59 exercise price | 2017-09-06 | |
| 2017-09-06 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,582 0 owned after | $8.47 exercise price | 2017-09-06 | |
| 2017-09-06 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −67,060 0 owned after | $2.24 exercise price | 2017-09-06 | |
| 2017-09-06 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,090 0 owned after | $2.68 exercise price | 2017-09-06 | |
| 2017-09-06 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $9.68 exercise price | 2017-09-06 | |
| 2017-09-06 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −37,500 0 owned after | $8.75 exercise price | 2017-09-06 | |
| 2017-09-06 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −500,000 0 owned after | $3.49 exercise price | 2017-09-06 | |
| 2017-09-06 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −234,563 0 owned after | $3.49 exercise price | 2017-09-06 | |
| 2017-09-06 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −230,000 0 owned after | $2.31 exercise price | 2017-09-06 | |
| 2017-06-13 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-06-13 | Ericson William W. Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-06-13 | BOSTROM SUSAN L Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-06-13 | KOKICH CLARK M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-06-13 | CODD RONALD E F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-06-13 | LEWIS JOHN JASPER Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,090 55,090 owned after | $2.68 exercise price | 2017-06-15 | |
| 2017-02-08 holding as of filing | Gosen David Officer (SVP, Intl & GM, Platform) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.41 exercise price | 2017-02-08 | ||
| 2017-02-07 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +230,000 230,000 owned after | $2.31 exercise price | 2017-02-13 | |
| 2017-02-07 | Gosen David Officer (SVP, Intl & GM, Platform) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $2.31 exercise price | 2017-02-09 | |
| 2017-02-07 | Wootton Emmett Randolph III Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +230,000 230,000 owned after | $2.31 exercise price | 2017-02-09 | |
| 2017-02-07 | PITTENGER RICHARD Officer (SVP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $2.31 exercise price | 2017-02-09 | |
| 2017-02-07 | Covington JoAnn Officer (SVP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $2.31 exercise price | 2017-02-08 |