Statement of Changes in Beneficial Ownership (4)
August 07 2017 - 6:15PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Kim Jae
|
2. Issuer Name
and
Ticker or Trading Symbol
RAMBUS INC
[
RMBS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP & GC
|
(Last)
(First)
(Middle)
1050 ENTERPRISE WAY, SUITE 700
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/3/2017
|
(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
8/3/2017
|
|
M
|
|
495
|
A
|
$7.31
|
120126
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
2432
|
A
|
$5.46
|
122558
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
1459
|
A
|
$5.46
|
124017
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
243
|
A
|
$5.63
|
124260
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
110
|
A
|
$5.63
|
124370
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
10287
|
A
|
$8.76
|
134657
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
5134
|
A
|
$11.26
|
139791
|
D
|
|
Common Stock
|
8/3/2017
|
|
M
|
|
6428
|
A
|
$12.31
|
146219
|
D
|
|
Common Stock
|
8/3/2017
|
|
S
|
|
39195
|
D
|
$12.7025
(1)
|
107024
|
D
|
|
Common Stock
|
8/4/2017
|
|
S
|
|
3254
|
D
|
$12.8032
(2)
|
103770
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (right to buy)
|
$7.31
|
8/3/2017
|
|
M
|
|
|
495
|
(3)
|
2/1/2022
|
Common Stock
|
495
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$5.46
|
8/3/2017
|
|
M
|
|
|
2432
|
(4)
|
2/1/2023
|
Common Stock
|
2432
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$5.46
|
8/3/2017
|
|
M
|
|
|
1459
|
(4)
|
2/1/2023
|
Common Stock
|
1459
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$5.63
|
8/3/2017
|
|
M
|
|
|
243
|
(5)
|
8/2/2020
|
Common Stock
|
243
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$5.63
|
8/3/2017
|
|
M
|
|
|
110
|
(5)
|
2/1/2021
|
Common Stock
|
110
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$8.76
|
8/3/2017
|
|
M
|
|
|
10287
|
(6)
|
2/3/2024
|
Common Stock
|
16073
|
$0.00
|
5786
|
D
|
|
Employee Stock Option
|
$11.26
|
8/3/2017
|
|
M
|
|
|
5134
|
(7)
|
2/2/2025
|
Common Stock
|
10534
|
$0.00
|
5400
|
D
|
|
Employee Stock Option
|
$12.31
|
8/3/2017
|
|
M
|
|
|
6428
|
(8)
|
2/1/2026
|
Common Stock
|
18000
|
$0.00
|
11572
|
D
|
|
Explanation of Responses:
|
(1)
|
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.
|
(2)
|
All shares were sold at an exact sale price of $12.8032.
|
(3)
|
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.
|
(4)
|
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.
|
(5)
|
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.
|
(6)
|
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.
|
(7)
|
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.
|
(8)
|
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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Kim Jae
1050 ENTERPRISE WAY, SUITE 700
SUNNYVALE, CA 94089
|
|
|
SVP & GC
|
|
Signatures
|
/s/ William Krause, by power of attorney
|
|
8/7/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Rambus (NASDAQ:RMBS)
Historical Stock Chart
From Aug 2024 to Sep 2024
Rambus (NASDAQ:RMBS)
Historical Stock Chart
From Sep 2023 to Sep 2024