ROSETTA STONE INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-19: Reporting owner Franklin Laurence; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-19: 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).
- 2016-05-19: Reporting owner TSAY CAROLINE J; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-19: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-05-19 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,451 14,451 owned after | $7.70 exercise price | 2016-05-20 | |
| 2016-05-19 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,451 14,451 owned after | $7.70 exercise price | 2016-05-20 | |
| 2016-05-19 | TSAY CAROLINE J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,451 14,451 owned after | $7.70 exercise price | 2016-05-20 | |
| 2016-05-19 | GROSS PATRICK W Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,451 14,451 owned after | $7.70 exercise price | 2016-05-20 | |
| 2016-05-19 | Nierenberg David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,451 14,451 owned after | $7.70 exercise price | 2016-05-20 | |
| 2016-04-04 | Hass A John Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +314,465 314,465 owned after | $7.10 exercise price | 2016-04-06 | |
| 2016-04-04 | Hass A John Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +314,465 628,930 owned after | $7.10 exercise price | 2016-04-06 | |
| 2016-02-19 | 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) | +72,705 72,705 owned after | $7.47 exercise price | 2016-02-23 | |
| 2016-02-19 | 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) | +32,313 32,313 owned after | $7.47 exercise price | 2016-02-23 | |
| 2016-02-19 | CUDD SONIA G. Officer (General Counsel & Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,431 44,431 owned after | $7.47 exercise price | 2016-02-23 | |
| 2016-02-19 | Hartford M. Sean Other (Principal Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,655 8,655 owned after | $7.47 exercise price | 2016-02-23 |