ROSETTA STONE INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-16: Reporting owner Woolley-Wilson Jessie; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-09-15: Reporting owner Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett; Form 4; Security Call Option (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2017-09-15: Reporting owner Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett; Form 4; Security Call Option (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2017-09-15: Reporting owner Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett; Form 4; Security Call Option (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-10-16 | Woolley-Wilson Jessie Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,780 6,780 owned after | $9.92 exercise price | 2017-10-18 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | X Exercise of in-the-money or at-the-money derivative security | −1,200 0 owned after | $5.00 exercise price | 2017-09-15 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | X Exercise of in-the-money or at-the-money derivative security | −1,300 0 owned after | $7.50 exercise price | 2017-09-15 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital II, LP | X Exercise of in-the-money or at-the-money derivative security | −200 0 owned after | $5.00 exercise price | 2017-09-15 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital II, LP | X Exercise of in-the-money or at-the-money derivative security | −700 0 owned after | $7.50 exercise price | 2017-09-15 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Spartan, LP | X Exercise of in-the-money or at-the-money derivative security | −400 0 owned after | $5.00 exercise price | 2017-09-15 | |
| 2017-09-15 | Osmium Diamond, LP | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | OSMIUM CAPITAL LP | OSMIUM SPARTAN L P | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Diamond, LP | X Exercise of in-the-money or at-the-money derivative security | −200 0 owned after | $5.00 exercise price | 2017-09-15 | |
| 2017-08-23 holding as of filing | Gaehde Nicholas C Officer (President, Lexia Learning) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $15.91 exercise price | 2017-08-23 | ||
| 2017-08-23 holding as of filing | Gaehde Nicholas C Officer (President, Lexia Learning) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.96 exercise price | 2017-08-23 | ||
| 2017-08-23 holding as of filing | Gaehde Nicholas C Officer (President, Lexia Learning) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.78 exercise price | 2017-08-23 | ||
| 2017-08-23 holding as of filing | Gaehde Nicholas C Officer (President, Lexia Learning) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $7.47 exercise price | 2017-08-23 | ||
| 2017-06-06 | Hartford M. Sean Other (Principal Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,164 6,491 owned after | $7.47 exercise price | 2017-06-08 | |
| 2017-06-06 | Hartford M. Sean Other (Principal Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,886 1,885 owned after | $9.78 exercise price | 2017-06-08 | |
| 2017-05-19 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,766 9,766 owned after | $11.42 exercise price | 2017-05-23 | |
| 2017-05-19 | TSAY CAROLINE J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,766 9,766 owned after | $11.42 exercise price | 2017-05-23 | |
| 2017-05-19 | Nierenberg David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,766 9,766 owned after | $11.42 exercise price | 2017-05-23 | |
| 2017-05-19 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,766 9,766 owned after | $11.42 exercise price | 2017-05-23 | |
| 2017-05-19 | GROSS PATRICK W Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,766 9,766 owned after | $11.42 exercise price | 2017-05-23 | |
| 2017-03-17 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,500 0 owned after | $6.08 exercise price | 2017-03-21 | |
| 2017-03-17 | GROSS PATRICK W Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,500 0 owned after | $6.08 exercise price | 2017-03-21 | |
| 2017-03-17 | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | Osmium Diamond, LP | OSMIUM SPARTAN L P | OSMIUM CAPITAL LP | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | X Exercise of in-the-money or at-the-money derivative security | −400 0 owned after | $5.00 exercise price | 2017-03-20 | |
| 2017-03-17 | Osmium Special Opportunity Fund, LP | Osmium Capital II, LP | Osmium Partners, LLC | Osmium Diamond, LP | OSMIUM SPARTAN L P | OSMIUM CAPITAL LP | Lewis John Hartnett 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | X Exercise of in-the-money or at-the-money derivative security | −600 0 owned after | $7.50 exercise price | 2017-03-20 | |
| 2017-02-22 | 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) | +144,497 458,962 owned after | $7.10 exercise price | 2017-02-24 | |
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | Holding | $5.00 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | Holding | $7.50 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | Holding | $7.50 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital, LP | Holding | $5.00 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital II, LP | Holding | $7.50 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Capital II, LP | Holding | $5.00 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Spartan, LP | Holding | $5.00 exercise price | 2017-02-14 | ||
| 2017-02-14 holding as of filing | Osmium Partners, LLC | OSMIUM CAPITAL LP | Osmium Diamond, LP | Osmium Capital II, LP | OSMIUM SPARTAN L P | Lewis John Hartnett | Osmium Special Opportunity Fund, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (right to buy) Derivative · Indirect · By Osmium Diamond, LP | Holding | $5.00 exercise price | 2017-02-14 |