ROSETTA STONE INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-19: Reporting owner TSAY CAROLINE J; Form 3; Security Stock Option; Transaction Holding.
- 2014-11-26: Reporting owner Hass A John; Form 3; Security Stock Option; Transaction Holding.
- 2014-10-16: Reporting owner Yankovich Steven P; Form 3; Security Stock Option; Transaction Holding.
- 2014-09-04: Reporting owner Na Christian S; Form 3; Security Employee Stock Option; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-19 holding as of filing | TSAY CAROLINE J Director | 3 | Stock Option Derivative · Direct | Holding | $10.84 exercise price | 2014-12-19 | ||
| 2014-11-26 holding as of filing | Hass A John Director | 3 | Stock Option Derivative · Direct | Holding | $9.04 exercise price | 2014-11-26 | ||
| 2014-10-16 holding as of filing | Yankovich Steven P Director | 3 | Stock Option Derivative · Direct | Holding | $8.23 exercise price | 2014-10-16 | ||
| 2014-09-04 holding as of filing | Na Christian S Officer (CLO & Secretary) | 3 | Employee Stock Option Derivative · Direct | Holding | $9.61 exercise price | 2014-09-04 | ||
| 2014-09-04 holding as of filing | Ludwig Eric B Officer (Sr. VP, Consumer) | 3 | Employee Stock Option Derivative · Direct | Holding | $21.55 exercise price | 2014-09-04 | ||
| 2014-09-04 holding as of filing | Ludwig Eric B Officer (Sr. VP, Consumer) | 3 | Employee Stock Option Derivative · Direct | Holding | $13.66 exercise price | 2014-09-04 | ||
| 2014-09-04 holding as of filing | Ludwig Eric B Officer (Sr. VP, Consumer) | 3 | Employee Stock Option Derivative · Direct | Holding | $8.95 exercise price | 2014-09-04 | ||
| 2014-09-04 holding as of filing | Ludwig Eric B Officer (Sr. VP, Consumer) | 3 | Employee Stock Option Derivative · Direct | Holding | $12.47 exercise price | 2014-09-04 | ||
| 2014-09-04 holding as of filing | Ludwig Eric B Officer (Sr. VP, Consumer) | 3 | Employee Stock Option Derivative · Direct | Holding | $11.96 exercise price | 2014-09-04 | ||
| 2014-05-20 | WITT LAURA Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 29,970 owned after | $9.42 exercise price | 2014-05-23 | |
| 2014-05-20 | Bankoff James Philip Director | 4/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 17,476 owned after | $9.42 exercise price | 2014-05-22 | |
| 2014-05-20 | KONDRACKE MARGUERITE Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 23,976 owned after | $9.42 exercise price | 2014-05-22 | |
| 2014-05-20 | GROSS PATRICK W Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 62,470 owned after | $9.42 exercise price | 2014-05-22 | |
| 2014-05-20 | Franklin Laurence Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 60,340 owned after | $9.42 exercise price | 2014-05-22 | |
| 2014-05-20 | Bankoff James Philip Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,571 17,476 owned after | $9.42 exercise price | 2014-05-22 | |
| 2014-03-04 holding as of filing | SHAH PRAGNESH N Officer (President, Global Consumer) | 4 | Employee Stock Option Derivative · Direct | Holding | 8,155 owned after | $12.47 exercise price | 2014-03-04 | |
| 2014-02-28 | SHAH PRAGNESH N Officer (President, Global Consumer) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −32,500 32,500 owned after | $7.35 exercise price | 2014-03-04 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | Holding | 50,000 owned after | $10.55 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | Holding | 8,155 owned after | $12.47 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Swad Stephen M Director, Officer (CEO and President) | 4 | Employee Stock Option Derivative · Indirect · By trust | Holding | 150,000 owned after | $22.39 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Swad Stephen M Director, Officer (CEO and President) | 4 | Employee Stock Option Derivative · Indirect · By trust | Holding | 125,000 owned after | $8.76 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Swad Stephen M Director, Officer (CEO and President) | 4 | Employee Stock Option Derivative · Indirect · By trust | Holding | 34,659 owned after | $12.47 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Verses Judy Officer (President, Global Institut'l) | 4 | Employee Stock Options Derivative · Direct | Holding | 65,000 owned after | $10.42 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Verses Judy Officer (President, Global Institut'l) | 4 | Employee Stock Option Derivative · Direct | Holding | 3,151 owned after | $8.95 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | Verses Judy Officer (President, Global Institut'l) | 4 | Employee Stock Option Derivative · Direct | Holding | 8,155 owned after | $12.47 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | Holding | 50,000 owned after | $10.55 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | Holding | 8,155 owned after | $12.47 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Employee Stock Option Derivative · Direct | Holding | 50,000 owned after | $10.55 exercise price | 2014-02-19 | |
| 2014-02-19 holding as of filing | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Employee Stock Option Derivative · Direct | Holding | 8,155 owned after | $12.47 exercise price | 2014-02-19 | |
| 2014-02-14 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,208 53,208 owned after | $11.96 | 2014-02-19 | |
| 2014-02-14 | Swad Stephen M Director, Officer (CEO and President) | 4 | Employee Stock Option Derivative · Indirect · By trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,755 150,755 owned after | $11.96 | 2014-02-19 | |
| 2014-02-14 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4/A | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,208 53,208 owned after | $11.76 | 2014-02-19 | |
| 2014-02-14 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,208 53,208 owned after | $11.96 | 2014-02-19 |