SEC Form 4 · accession 0001477200-15-000049
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
Apr 9, 2015
Accepted (ET)
Apr 10, 2015 · 7:25 pm EDT
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 | Apr 9, 2015 | S | 5,160 | $8.9918 | D | 1,739,222 | I | See Footnote |
| Common StockF4,F5 | Apr 9, 2015 | S | 420 | $9.0124 | D | 77,333 | I | See Footnote |
| Common StockF4,F6 | Apr 9, 2015 | S | 420 | $9.0124 | D | 77,333 | I | See Footnote |
| Common StockF7,F3 | Apr 10, 2015 | S | 5,160 | $8.9368 | D | 1,734,062 | I | See Footnote |
| Common StockF8,F5 | Apr 10, 2015 | S | 420 | $8.9129 | D | 76,913 | I | See Footnote |
| Common StockF8,F6 | Apr 10, 2015 | S | 420 | $8.9129 | D | 76,913 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.89 to $9.09, 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 (2), (4), (7) and (8) 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 $8.98 to $9.06, 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.
- F6Shares held by The Richard A. Frankel Grantor Retained Annuity Trust U/T/A May 20, 2013, for which the reporting person is a trustee.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.85 to $9.05, inclusive.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.85 to $9.00, inclusive.