SEC Form 4 · accession 0001477200-17-000011
Rocket Fuel Inc. · FUEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
JoAnn Covington
Officer — SVP, General Counsel, CPO
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 4:48 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 | Feb 6, 2017 | F | 192 | $0.00 | D | 15,974 | 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 | $2.31 | Feb 7, 2017 | A | 60,000 | A | — | Feb 7, 2027 | Common Stock | 60,000 | 60,000 | D |
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.
- F2One-half of the shares subject to the option vest and become exercisable on February 1, 2018 and one-half of the shares vest and become exercisable on February 1, 2019, subject to Reporting Person's continued service to Issuer as of each such date.