Statement of Changes in Beneficial Ownership (4)

Date : 03/20/2017 @ 7:47PM
Source : Edgar (US Regulatory)
Stock : Rosetta Stone Rosetta Stone, Inc. (RST)
Quote : 9.505  0.305 (3.32%) @ 3:54PM

Statement of Changes in Beneficial Ownership (4)

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
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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 *

Osmium Partners, LLC
2. Issuer Name and Ticker or Trading Symbol

ROSETTA STONE INC [ RST ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

300 DRAKES LANDING ROAD, SUITE 172
3. Date of Earliest Transaction (MM/DD/YYYY)

3/17/2017
(Street)

GREENBRAE, CA 94904
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ 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   3/17/2017     X    40000   A $5.00   412685   I   By Osmium Capital, LP   (1)
Common Stock   3/17/2017     X    60000   A $7.50   472685   I   By Osmium Capital, LP   (1)
Common Stock                  268298   I   By Osmium Capital II, LP   (1)
Common Stock                  169194   I   By Osmium Spartan, LP   (1)
Common Stock                  260842   I   By Osmium Diamond, LP   (1)
Common Stock                  661445   I   By Osmium Special Opportunity Fund, LP   (1)
Common Stock                  92020   I   By John H. Lewis   (1)

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
Call Option (right to buy)   $5.00   3/17/2017     X         400    12/13/2016   3/17/2017   Common Stock   40000   $0.00   0   I   By Osmium Capital, LP   (1)
Call Option (right to buy)   $7.50   3/17/2017     X         600    12/13/2016   3/17/2017   Common Stock   60000   $0.00   0   I   By Osmium Capital, LP   (1)

Explanation of Responses:
( 1)  The general partner of Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP is Osmium Partners, LLC. John H. Lewis is the controlling member of Osmium Partners, LLC, and Mr. Lewis may be deemed to have voting and dispositive power with respect to the shares held by Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP. Mr. Lewis disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Lewis is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Osmium Partners, LLC
300 DRAKES LANDING ROAD
SUITE 172
GREENBRAE, CA 94904

X

OSMIUM CAPITAL LP
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X

Osmium Capital II, LP
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X

OSMIUM SPARTAN L P
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X

Osmium Diamond, LP
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X

Osmium Special Opportunity Fund, LP
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X

Lewis John Hartnett
300 DRAKES LANDING ROAD, SUITE 172
GREENBRAE, CA 94904

X


Signatures
/s/ John H. Lewis, individually, and as Managing Member of Osmium Partners, LLC, for itself and as General Partner of Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP 3/20/2017
** 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.

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