ROSETTA STONE INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-04-21: Reporting owner Adams Tom Peder Herman; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2009-04-21: Reporting owner Adams Tom Peder Herman; Form 4; Security Series A-2 Preferred Stock; Transaction C Conversion of derivative security.
- 2009-04-21: Reporting owner ABS PARTNERS IV LLC | ABS CAPITAL PARTNERS IV LP | ABS CAPITAL PARTNERS IV A LP | ABS CAPITAL PARTNERS IV OFFSHORE LP | ABS CAPITAL PARTNERS IV SPECIAL OFFSHORE LP; Form 4; Security Series A-1 Preferred; Transaction C Conversion of derivative security.
- 2009-04-21: Reporting owner CLOUGH PHILLIP A; Form 4; Security Series A-1 Preferred; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-04-21 | Adams Tom Peder Herman Director | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,700 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | Adams Tom Peder Herman Director | 4 | Series A-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,700 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | ABS PARTNERS IV LLC | ABS CAPITAL PARTNERS IV LP | ABS CAPITAL PARTNERS IV A LP | ABS CAPITAL PARTNERS IV OFFSHORE LP | ABS CAPITAL PARTNERS IV SPECIAL OFFSHORE LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A-1 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −261,558 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | CLOUGH PHILLIP A Director, 10% Owner | 4 | Series A-1 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −261,558 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | WITT LAURA Director, 10% Owner | 4 | Series A-1 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −261,558 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | DEVRIES TIMOTHY C | Itasca Partners VIII, LLC | WHALEY JOHN P | LINDAHL JOHN E | Norwest Equity Partners VIII, LP 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A-2 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −171,000 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | LINDAHL JOHN E Director, 10% Owner | 4 | Series A-2 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −171,000 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-15 holding as of filing | WHALEY JOHN P | LINDAHL JOHN E | Norwest Equity Partners VIII, LP | Itasca Partners VIII, LLC | DEVRIES TIMOTHY C 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-2 Preferred Non-derivative · Indirect · See Footnote | Holding | 171,000 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | ABS PARTNERS IV LLC | ABS CAPITAL PARTNERS IV LP | ABS CAPITAL PARTNERS IV SPECIAL OFFSHORE LP | ABS CAPITAL PARTNERS IV A LP | ABS CAPITAL PARTNERS IV OFFSHORE LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Non-derivative · Indirect · See Footnote | Holding | 261,558 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | LINDAHL JOHN E Director, 10% Owner | 3 | Series A-2 Preferred Non-derivative · Indirect · By limited partnership | Holding | 171,000 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | CLOUGH PHILLIP A Director, 10% Owner | 3 | Series A-1 Preferred Non-derivative · Indirect · By limited partnership | Holding | 261,558 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | Adams Tom Peder Herman Director | 3 | Series A-1 Preferred Non-derivative · Direct | Holding | 2,700 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | Adams Tom Peder Herman Director | 3 | Series A-2 Preferred Non-derivative · Direct | Holding | 2,700 owned after | no price filed | 2009-04-15 | |
| 2009-04-15 holding as of filing | WITT LAURA Director, 10% Owner | 3 | Series A-1 Preferred Non-derivative · Indirect · By limited partnership | Holding | 261,558 owned after | no price filed | 2009-04-15 |