Rocket Fuel Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 28 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-23: Reporting owner SANKARAN DAVID M; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-23: Reporting owner Thapar Manu; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-11: Reporting owner Covington JoAnn; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-26: Reporting owner Trigg Dominic; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-23 | SANKARAN DAVID M Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84,000 84,000 owned after | $17.20 exercise price | 2014-12-29 | |
| 2014-12-23 | Thapar Manu Officer (SVP, Research & Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,000 62,000 owned after | $17.20 exercise price | 2014-12-29 | |
| 2014-12-11 | Covington JoAnn Officer (VP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 90,459 owned after | $3.55 exercise price | 2014-12-11 | |
| 2014-11-26 | Trigg Dominic Officer (SVP & Managing Director, EMEA) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 85,885 owned after | $1.07 exercise price | 2014-12-01 | |
| 2014-11-17 | Covington JoAnn Officer (VP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 93,459 owned after | $3.55 exercise price | 2014-11-18 | |
| 2014-10-02 holding as of filing | Pandya Bela Officer (Interim CFO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $15.33 exercise price | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Pandya Bela Officer (Interim CFO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $32.07 exercise price | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Pandya Bela Officer (Interim CFO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $16.67 exercise price | 2014-10-02 | ||
| 2014-08-28 | Covington JoAnn Officer (VP, General Counsel, CPO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $16.60 exercise price | 2014-08-29 | |
| 2014-06-09 | ZWEBEN MONTE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-06-09 | 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) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-06-09 | Gardner John E. Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-06-09 | 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) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-06-09 | 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) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-06-09 | 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) | +6,000 6,000 owned after | $23.59 exercise price | 2014-06-11 | |
| 2014-02-27 holding as of filing | Covington JoAnn Officer (VP, General Counsel, CPO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.55 exercise price | 2014-02-27 | ||
| 2014-02-27 holding as of filing | Covington JoAnn Officer (VP, General Counsel, CPO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.21 exercise price | 2014-02-27 | ||
| 2014-02-27 holding as of filing | Covington JoAnn Officer (VP, General Counsel, CPO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $51.16 exercise price | 2014-02-27 | ||
| 2014-02-06 | Frankel Richard A. Director, Officer (Co-Founder and President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +92,250 92,250 owned after | $51.16 exercise price | 2014-02-10 | |
| 2014-02-06 | Gupta Abhinav Officer (Co-Founder, VP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,250 65,250 owned after | $51.16 exercise price | 2014-02-10 | |
| 2014-02-06 | John George H. Director, Officer (Co-Founder, CEO & Chairman) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +142,500 142,500 owned after | $51.16 exercise price | 2014-02-10 | |
| 2014-02-06 | Trigg Dominic Officer (VP/Managing Director, Europe) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $51.16 exercise price | 2014-02-10 | |
| 2014-02-06 | Bardwick J. Peter Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $51.16 exercise price | 2014-02-10 | |
| 2014-02-05 | Gupta Abhinav Officer (Co-Founder, VP, Engineering) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −90,000 360,000 owned after | $6.58 exercise price | 2014-02-05 | |
| 2014-02-05 | ZWEBEN MONTE Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,996 125,870 owned after | $0.16 exercise price | 2014-02-05 | |
| 2014-02-05 | Trigg Dominic Officer (VP/Managing Director, Europe) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,115 115,885 owned after | $1.07 exercise price | 2014-02-05 | |
| 2014-02-05 | Frankel Richard A. Director, Officer (Co-Founder and President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,656 626,344 owned after | $6.58 exercise price | 2014-02-05 | |
| 2014-02-05 | Bardwick J. Peter Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 282,500 owned after | $1.07 exercise price | 2014-02-05 |