SEC Form 4 · accession 0001209191-16-151799

RAMBUS INC · RMBS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP & GC

Period of report

Nov 21, 2016

Accepted (ET)

Nov 22, 2016 · 6:54 pm EST

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
Common Stock	Nov 21, 2016	M	496	$7.31	A	91,831	D
Common Stock	Nov 21, 2016	M	2,433	$5.46	A	94,264	D
Common Stock	Nov 21, 2016	M	1,460	$5.46	A	95,724	D
Common Stock	Nov 21, 2016	M	242	$5.63	A	95,966	D
Common Stock	Nov 21, 2016	M	111	$5.63	A	96,077	D
Common Stock	Nov 21, 2016	M	4,335	$8.76	A	100,412	D
Common Stock^F2	Nov 21, 2016	S	9,851	$13.3505	D	90,561	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F3	$7.31	Nov 21, 2016	M	496	D	—	Feb 1, 2022	Common Stock	1,486	990	D
Employee Stock Option (right to buy)^F4	$5.46	Nov 21, 2016	M	2,433	D	—	Feb 1, 2023	Common Stock	7,297	4,864	D
Employee Stock Option (right to buy)^F4	$5.46	Nov 21, 2016	M	1,460	D	—	Feb 1, 2023	Common Stock	4,378	2,918	D
Employee Stock Option (right to buy)^F5	$5.63	Nov 21, 2016	M	242	D	—	Aug 2, 2020	Common Stock	727	485	D
Employee Stock Option (right to buy)^F5	$5.63	Nov 21, 2016	M	111	D	—	Feb 1, 2021	Common Stock	331	220	D
Employee Stock Option (right to buy)^F6	$8.76	Nov 21, 2016	M	4,335	D	—	Feb 3, 2024	Common Stock	24,743	20,408	D

F1The sales reported on this Form 4 are pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 21, 2016.
F2The sale price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.19 to $13.48. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F3Ten percent of the shares subject to the option vested on August 1, 2012 and the remaining shares vested monthly thereafter until fully vested on February 1, 2016.
F4Ten percent of the shares subject to the option vested on August 1, 2013 and the remaining shares vested monthly thereafter until fully vested on February 1, 2017.
F5One-third of the shares subject to the option vested on June 22, 2013 and the remaining shares vested monthly thereafter until fully vested on June 22, 2015.
F6Ten percent of the shares subject to the option vested on August 3, 2014 and the remaining shares vested monthly thereafter until fully vested on February 3, 2018.