ROSETTA STONE INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-13: Reporting owner WALKER KATHRYN EBERLE; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-08-21: Reporting owner Hynes Aedhmar; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-05-23: Reporting owner PIERNO THOMAS M; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-05-22: Reporting owner PIERNO THOMAS M; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-11-13 | WALKER KATHRYN EBERLE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,437 4,437 owned after | $14.60 exercise price | 2019-11-15 | |
| 2019-08-21 | Hynes Aedhmar Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,687 5,687 owned after | $17.74 exercise price | 2019-08-23 | |
| 2019-05-23 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,070 0 owned after | $11.96 exercise price | 2019-05-23 | |
| 2019-05-22 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $10.55 exercise price | 2019-05-23 | |
| 2019-05-22 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,155 0 owned after | $12.47 exercise price | 2019-05-23 | |
| 2019-05-22 | PIERNO THOMAS M Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,138 31,070 owned after | $11.96 exercise price | 2019-05-23 | |
| 2019-05-20 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-20 | Woolley-Wilson Jessie Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-20 | Nierenberg David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-20 | LOGUE GEORGE A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-20 | GROSS PATRICK W Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-20 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,076 5,076 owned after | $25.66 exercise price | 2019-05-22 | |
| 2019-05-15 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,451 0 owned after | $7.70 exercise price | 2019-05-17 | |
| 2019-05-15 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,783 0 owned after | $8.23 exercise price | 2019-05-17 | |
| 2019-05-15 | Yankovich Steven P Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,537 0 owned after | $8.50 exercise price | 2019-05-17 | |
| 2019-05-10 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −329 0 owned after | $20.35 exercise price | 2019-05-14 | |
| 2019-05-10 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,266 0 owned after | $9.51 exercise price | 2019-05-14 | |
| 2019-05-10 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,571 0 owned after | $9.42 exercise price | 2019-05-14 | |
| 2019-05-10 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,608 0 owned after | $8.50 exercise price | 2019-05-14 | |
| 2019-05-10 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,451 0 owned after | $7.70 exercise price | 2019-05-14 | |
| 2019-04-09 | 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 | −2,658 0 owned after | $18.00 exercise price | 2019-04-11 | |
| 2019-03-12 | Franklin Laurence Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,658 0 owned after | $18.00 exercise price | 2019-03-14 | |
| 2019-03-11 | Hartford M. Sean Officer (Principal Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,578 0 owned after | $15.69 exercise price | 2019-03-13 | |
| 2019-03-11 | Hartford M. Sean Officer (Principal Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,164 2,163 owned after | $7.47 exercise price | 2019-03-13 | |
| 2019-03-11 | Hartford M. Sean Officer (Principal Accounting Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −942 0 owned after | $9.78 exercise price | 2019-03-13 |