SEC Form 4 · accession 0001209191-16-148038
RAMBUS INC · RMBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rahul Mathur
Officer — SVP, CFO
Period of report
Nov 1, 2016
Accepted (ET)
Nov 2, 2016 · 7:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000917273
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 1, 2016 | A | 80,000 | $0.00 | A | 80,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $12.15 | Nov 1, 2016 | A | 60,000 | A | May 1, 2017 | Nov 1, 2026 | Common Stock | 60,000 | 60,000 | D |
Explanation of responses
- F1Shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of RMBS common stock. The restricted stock units vest in four equal annual installments beginning on November 1, 2017 or the first business trading day thereafter.
- F2One tenth of the shares subject to the option vest on May 1, 2017 and the remaining shares vest in equal monthly installments until they are fully vested on November 1, 2020.