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RAMBUS INC — Director's Dealing 2017
Aug 8, 2017
30548_dirs_2017-08-07_c2202359-539b-42d8-add8-eafd981306f6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAMBUS INC (RMBS)
CIK: 0000917273
Period of Report: 2017-08-03
Reporting Person: Kim Jae (SVP & GC)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-08-03 | Common Stock | M | 495 | $7.31 | Acquired | 120126 | Direct |
| 2017-08-03 | Common Stock | M | 2432 | $5.46 | Acquired | 122558 | Direct |
| 2017-08-03 | Common Stock | M | 1459 | $5.46 | Acquired | 124017 | Direct |
| 2017-08-03 | Common Stock | M | 243 | $5.63 | Acquired | 124260 | Direct |
| 2017-08-03 | Common Stock | M | 110 | $5.63 | Acquired | 124370 | Direct |
| 2017-08-03 | Common Stock | M | 10287 | $8.76 | Acquired | 134657 | Direct |
| 2017-08-03 | Common Stock | M | 5134 | $11.26 | Acquired | 139791 | Direct |
| 2017-08-03 | Common Stock | M | 6428 | $12.31 | Acquired | 146219 | Direct |
| 2017-08-03 | Common Stock | S | 39195 | $12.7025 | Disposed | 107024 | Direct |
| 2017-08-04 | Common Stock | S | 3254 | $12.8032 | Disposed | 103770 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-08-03 | Employee Stock Option (right to buy) | $7.31 | M | 495 | Disposed | 2022-02-01 | Common Stock (495) | Direct |
| 2017-08-03 | Employee Stock Option (right to buy) | $5.46 | M | 2432 | Disposed | 2023-02-01 | Common Stock (2432) | Direct |
| 2017-08-03 | Employee Stock Option (right to buy) | $5.46 | M | 1459 | Disposed | 2023-02-01 | Common Stock (1459) | Direct |
| 2017-08-03 | Employee Stock Option (right to buy) | $5.63 | M | 243 | Disposed | 2020-08-02 | Common Stock (243) | Direct |
| 2017-08-03 | Employee Stock Option (right to buy) | $5.63 | M | 110 | Disposed | 2021-02-01 | Common Stock (110) | Direct |
| 2017-08-03 | Employee Stock Option (right to buy) | $8.76 | M | 10287 | Disposed | 2024-02-03 | Common Stock (16073) | Direct |
| 2017-08-03 | Employee Stock Option | $11.26 | M | 5134 | Disposed | 2025-02-02 | Common Stock (10534) | Direct |
| 2017-08-03 | Employee Stock Option | $12.31 | M | 6428 | Disposed | 2026-02-01 | Common Stock (18000) | Direct |
Footnotes
F1: The sale price reported in Column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $12.65 to $12.75. 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.
F2: All shares were sold at an exact sale price of $12.8032.
F3: Ten 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.
F4: Ten 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.
F5: One-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.
F6: Ten 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.
F7: Ten percent of the shares subject to the option vested on August 2, 2015 and the remaining shares vest monthly thereafter until fully vested on February 2, 2019.
F8: Ten percent of the shares subject to the option vested on August 1, 2016 and the remaining shares vest monthly thereafter until fully vested on February 1, 2020.