SEC Form 4 · accession 0001477200-15-000008
Rocket Fuel Inc. · FUEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard A. Frankel
Officer — Co-Founder and President · Director
Period of report
Jan 13, 2015
Accepted (ET)
Jan 14, 2015 · 5:49 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,F3 | Jan 13, 2015 | S | 5,160 | $14.3505 | D | 1,801,142 | I | See Footnote |
| Common StockF4,F5 | Jan 13, 2015 | S | 420 | $14.4673 | D | 82,373 | I | See Footnote |
| Common StockF6,F7 | Jan 13, 2015 | S | 420 | $14.461 | D | 82,373 | I | See Footnote |
| Common StockF8,F3 | Jan 14, 2015 | S | 5,160 | $14.146 | D | 1,795,982 | I | See Footnote |
| Common StockF9,F5 | Jan 14, 2015 | S | 420 | $14.1371 | D | 81,953 | I | See Footnote |
| Common StockF10,F7 | Jan 14, 2015 | S | 420 | $14.1376 | D | 81,953 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 8, 2014.
- F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.19, inclusive.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.27 to $14.80, 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 footnotes (4), (6), (8), (9) and (10) to this Form 4.
- F3Shares owned by the Martha M. Conway & Richard A. Frankel TR UA 03/13/2009 Conway-Frankel Family Trust
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.33 to $14.60, inclusive.
- F5Shares 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.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.32 to $14.60, inclusive.
- F7Shares held by The Richard A. Frankel Grantor Retained Annuity Trust U/T/A May 20, 2013, for which the reporting person is a trustee.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.48, inclusive.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.19, inclusive.