SEC Form 4 · accession 0001351285-15-000029
ROSETTA STONE INC · RST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A John Hass
Officer — Interim Pres. & CEO · Director
Period of report
Apr 15, 2015
Accepted (ET)
Apr 17, 2015 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001351285
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 15, 2015 | A | 45,600 | $0.00 | A | 45,600 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2,F3 | $7.95 | Apr 15, 2015 | A | 444,000 | A | — | Apr 14, 2025 | Common Stock | 444,000 | 444,000 | D |
Explanation of responses
- F1These shares are subject to forfeiture restrictions that lapse 1/12 per month over twelve months beginning May 1, 2015.
- F2The exercise price is equal to the closing price of the common stock of the Issuer on the New York Stock Exchange on April 15, 2015, the date of grant.
- F3Options shall vest at a rate of 1/12 per month over twelve months beginning May 1, 2015.