ROSETTA STONE INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-13: Reporting owner Franklin Laurence; Form 4; Security Director Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-06-12: Reporting owner Yankovich Steven P; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-06-12: Reporting owner GROSS PATRICK W; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-06-12: Reporting owner WITT LAURA; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-08-13 | Franklin Laurence Director | 4 | Director Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,500 0 owned after | $3.85 exercise price | 2015-08-14 | |
| 2015-06-12 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,537 12,537 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | GROSS PATRICK W Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,966 27,966 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | WITT LAURA Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,465 14,465 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | Bankoff James Philip Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,323 18,323 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | TSAY CAROLINE J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,608 10,608 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | KONDRACKE MARGUERITE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,608 10,608 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,608 10,608 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-06-12 | Nierenberg David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,323 18,323 owned after | $8.50 exercise price | 2015-06-16 | |
| 2015-05-11 holding as of filing | Hartford M. Sean Other (Principal Accounting Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $15.69 exercise price | 2015-05-11 | ||
| 2015-05-11 holding as of filing | Hartford M. Sean Other (Principal Accounting Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.96 exercise price | 2015-05-11 | ||
| 2015-05-11 holding as of filing | Hartford M. Sean Other (Principal Accounting Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.78 exercise price | 2015-05-11 | ||
| 2015-04-15 | Nierenberg David Director | 4 | Stock Option Derivative · Indirect · see FN | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,771 1,771 owned after | $7.95 exercise price | 2015-04-17 | |
| 2015-04-15 | Hass A John Director, Officer (Interim Pres. & CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +444,000 444,000 owned after | $7.95 exercise price | 2015-04-17 | |
| 2015-02-12 | Verses Judy Officer (Pres., Global Enterp. & Educ'n) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,668 58,668 owned after | $9.78 exercise price | 2015-02-13 | |
| 2015-02-12 | Swad Stephen M Director, Officer (CEO and President) | 4 | Employee Stock Option (right to buy) Derivative · Indirect · By Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +199,470 199,470 owned after | $9.78 exercise price | 2015-02-13 | |
| 2015-02-12 | PIERNO THOMAS 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) | +70,401 70,401 owned after | $9.78 exercise price | 2015-02-13 | |
| 2015-02-12 | Ludwig Eric B Officer (Sr. VP, Global Consumer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,334 29,334 owned after | $9.78 exercise price | 2015-02-13 | |
| 2015-01-08 holding as of filing | CUDD SONIA G. Officer (General Counsel & Secretary) | 4 | Employee Stock Option Derivative · Direct | Holding | 27,629 owned after | $9.79 exercise price | 2015-01-08 |