SEC Form 4 · accession 0001573732-15-000007
ROSETTA STONE INC · RST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sonia G. Cudd
Officer — General Counsel & Secretary
Period of report
Jan 5, 2015
Accepted (ET)
Jan 8, 2015 · 4:24 pm EST
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 | Jan 5, 2015 | A | 11,236 | $0.00 | A | 11,491 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2,F3 | $9.79 | holding | — | — | — | — | Jan 5, 2025 | Common Stock | 27,629 | 27,629 | D |
Explanation of responses
- F1These shares are subject to forfeiture restrictions that lapse one-quarter per annum beginning one year from January 2, 2015, Ms. Cudd's start date of employment.
- F2The exercise price is equal to the closing price of the common stock of the Issuer on the New York Stock Exchange on January 5, 2015, the date of grant.
- F3Options shall vest at a rate of one-quarter per annum, beginning one year from January 2, 2015, the start date of Ms. Cudd's employment.