SEC Form 4 · accession 0001477200-15-000002
Rocket Fuel Inc. · FUEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A. Frankel
Officer — Co-Founder and President · Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 8:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477200
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 2, 2015 | G | 48,847 | $0.00 | D | 82,793 | I | See Footnote |
| Common StockF3 | Jan 2, 2015 | G | 48,847 | $0.00 | D | 82,793 | I | See Footnote |
| Common StockF4 | Jan 2, 2015 | G | 97,694 | $0.00 | A | 1,806,302 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All transactions reflect required annuity payments by each of the Martha M. Conway Grantor Retained Annuity Trust U/T/A May 20, 2013 and the Richard A. Frankel Grantor Retained Annuity Trust U/T/A May 20, 2013 to the Martha M. Conway & Richard A. Frankel TR UA 03/13/2009 Conway-Frankel Family Trust.
- F2Shares held in the name of Martha M. Conway Grantor Retained Annuity Trust U/T/A May 20, 2013. Ms. Conway is the wife of Mr. Frankel.
- F3Shares held by The Richard A. Frankel Grantor Retained Annuity Trust U/T/A May 20, 2013, for which the reporting person is a trustee.
- F4Shares owned by the Martha M. Conway & Richard A. Frankel TR UA 03/13/2009 Conway-Frankel Family Trust