SEC Form 4 · accession 0001477200-15-000006
Rocket Fuel Inc. · FUEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
JoAnn Covington
Officer — VP, General Counsel, CPO
Period of report
Jan 13, 2015
Accepted (ET)
Jan 13, 2015 · 5:09 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 Stock | Jan 13, 2015 | M | 3,000 | $3.55 | A | 7,398 | D | |
| Common StockF2 | Jan 13, 2015 | S | 3,000 | $14.69 | D | 4,398 | 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 Option (right to buy)F3 | $3.55 | Jan 13, 2015 | M | 3,000 | D | — | Aug 13, 2022 | Common Stock | 3,000 | 87,459 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2014
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.53 to $14.99, inclusive. The reporting person undertakes to provide to Rocket Fuel Inc., any security holder of Rocket Fuel Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3One-fourth of the shares subject to the option vested on July 23, 2013 and one forty-eighth of the shares vest monthly thereafter.