UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | Â (2) | 05/13/2023 | Common Stock | 50,000 | $ 15.33 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 04/30/2024 | Common Stock | 3,500 | $ 32.07 | D | Â |
Employee Stock Option (right to buy) | Â (4) | 08/07/2024 | Common Stock | 10,000 | $ 16.67 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pandya Bela 1900 SEAPORT BLVD REDWOOD CITY, CA 94063 |
 |  |  Interim CFO |  |
/s/ Ginny Coles, as attorney-in-fact for Bela Pandya | 10/02/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 1750 shares are represented by Restricted Stock Units ("RSUs"). One-fourth of the shares subject to the RSUs will vest on April 30, 2015 and one eighth of the shares vest every six months thereafter. 720 shares were acquired under the Rocket Fuel Inc 2013 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). |
(2) | One-fourth of the shares subject to the option vested on April 29, 2014 and one forty-eighth of the shares vest monthly thereafter. |
(3) | One-fourth of the shares subject to the option will vest on April 30, 2015 and one forty-eighth of the shares vest monthly thereafter |
(4) | One-fourth of the shares subject to the option will vest on August 7, 2015 and one forty-eighth of the shares vest monthly thereafter. |