Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-028786
Date:2020-05-11
Issuer: ROSETTA STONE INC (RST)
Original Submission Date:

Reporting Person:

FRANKLIN LAURENCE
C/O ROSETTA STONE INC.
1621 NORTH KENT STREET, SUITE 1200 ARLINGTON, VA 22209

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-11 M 18,895 a $0.00 56,952 direct
COMMON STOCK 2020-05-11 F 13,817 d $18.19 43,135 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 17.36 2020-05-11 deemed execution date M 2,979 (d) 2010-08-26 2020-08-26 common stock 2,979 $17.36 0 direct
STOCK OPTION (RIGHT TO BUY) 13.78 2020-05-11 deemed execution date M 6,150 (d) 2012-05-23 2022-05-23 common stock 6,150 $13.78 0 direct
STOCK OPTION (RIGHT TO BUY) 11.42 2020-05-11 deemed execution date M 9,766 (d) 2017-05-19 2027-05-19 common stock 9,766 $11.42 0 direct
Footnotes
IDfootnote
f1 shares were acquired at varying exercise prices, as shown in table ii.
f2 the reporting person exercised options and withheld shares to pay the option exercise price and any taxes due.
f3 this transaction was executed in multiple trades at prices ranging from $18.13 to $18.34 per share. the price reported above reflects the weighted average sale price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer, or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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