SEC Form 4 · accession 0001477200-16-000295
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
Mar 10, 2016
Accepted (ET)
Dec 22, 2016 · 5:47 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,F2 | Mar 10, 2016 | F | 3,118 | $3.49 | D | 303,632 | D | |
| Common StockF1 | Mar 25, 2016 | F | 2,293 | $3.12 | D | 301,339 | D | |
| Common StockF1,F3 | Sep 10, 2016 | F | 1,319 | $2.98 | D | 303,020 | D | |
| Common StockF1 | Sep 25, 2016 | F | 1,147 | $2.83 | D | 301,873 | D | |
| Common StockF1 | Nov 10, 2016 | F | 22,926 | $1.82 | D | 278,947 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by the Issuer to satisfy withholding taxes in connection with the vesting of previously awarded restricted stock units. No shares were sold.
- F2Includes 3,000 shares acquired under the Rocket Fuel Inc 2013 Employee Stock Purchase Plan on 11/30/2015.
- F3Includes 3,000 shares purchased under the Rocket Fuel Inc. 2013 Employee Stock Purchase Plan on 5/31/2016.