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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 11.21 | 06/10/2016 | D | 5,000 | (1) | 03/07/2023 | Common Stock | 5,000 | (2) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 51.16 | 06/10/2016 | D | 8,000 | (3) | 02/06/2024 | Common Stock | 8,000 | (4) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 16.6 | 06/10/2016 | D | 12,500 | (5) | 08/28/2024 | Common Stock | 12,500 | (6) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 9.68 | 06/10/2016 | D | 10,000 | (7) | 03/25/2025 | Common Stock | 10,000 | (8) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 2.23 | 06/13/2016 | A | 10,819 | (9) | 06/13/2023 | Common Stock | 10,819 | (10) | 10,819 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Covington JoAnn 1900 SEAPORT BLVD REDWOOD CITY, CA 94063 |
SVP, General Counsel, CPO |
/s/ Ken Scully, as attorney-in-fact for JoAnn Covington | 06/20/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This option provided for one-fourth of the shares subject to the option to vest and become exercisable on March 1, 2014 and one forty-eighth of the shares to vest and become exercisable monthly thereafter. |
(2) | On June 10, 2016, the Issuer canceled, pursuant to the Issuer's option exchange program, an option for 5,000 shares of Rocket Fuel common stock granted to the reporting person on March 7, 2013. In exchange, the reporting person received a replacement option, for 1,250 shares, having an exercise price of $2.23 per share. |
(3) | This option provided for one-fourth of the shares subject to the option to vest and become exercisable on February 6, 2015 and one forty-eighth of the shares to vest and become exercisable monthly thereafter. |
(4) | On June 10, 2016, the Issuer canceled, pursuant to the Issuer's option exchange program, an option for 8,000 shares of Rocket Fuel common stock granted to the reporting person on February 6, 2014. In exchange, the reporting person received a replacement option, for 2,000 shares, having an exercise price of $2.23 per share. |
(5) | This option provided for one-fourth of the shares subject to the option to vest and become exercisable on August 8, 2015 and one forty-eighth of the shares to vest and become exercisable monthly thereafter. |
(6) | On June 10, 2016, the Issuer canceled, pursuant to the Issuer's option exchange program, an option for 12,500 shares of Rocket Fuel common stock granted to the reporting person on August 28, 2014. In exchange, the reporting person received a replacement option, for 3,125 shares, having an exercise price of $2.23 per share. |
(7) | This option provided for one-fourth of the shares subject to the option to vest and become exercisable on March 25, 2016 and one forty-eighth of the shares to vest and become exercisable monthly thereafter. |
(8) | On June 10, 2016, the Issuer canceled, pursuant to the Issuer's option exchange program, an option for 10,000 shares of Rocket Fuel common stock granted to the reporting person on March 25, 2015. In exchange, the reporting person received a replacement option, for 4,444 shares, having an exercise price of $2.23 per share. |
(9) | Shares subject to an option that vest and become exercisable in equal monthly installments over three years beginning from June 13, 2016. |
(10) | On June 10, 2016, the Issuer canceled, pursuant to the Issuer's option exchange program, four options totaling 35,500 shares with a weighted average exercise price of $21.68 per share. In exchange, the reporting person received four replacement options, for a total of 10,819 shares, having an exercise price of $2.23 per share. |