SEC Form 4 · accession 0001477200-16-000137
Rocket Fuel Inc. · FUEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Emmett Randolph Wootton III
Officer — Chief Executive Officer · Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 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 StockF1 | Jan 1, 2016 | A | 250,000 | $0.00 | A | 303,750 | 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)F2 | $3.49 | Jan 1, 2016 | A | 500,000 | A | — | Jan 1, 2026 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Each share is represented by a Restricted Stock Unit ("RSU"). One-fourth of the shares subject to the RSU will vest on November 10, 2016 and one eighth of the shares vest every six months thereafter.
- F2One-fourth of the shares subject to the option vest and become exercisable on November 2, 2016 and one forty-eighty of the shares vest and become exercisable monthly thereafter.