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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Apr 3, 2018
33148_dirs_2018-04-02_4174e60f-875f-4255-b1bb-7110fc82e8dd.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-03-29
Reporting Person: SOUTHWELL DAVID P (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-04-02 | Common Stock | M | 21875 | — | Acquired | 38535 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-03-29 | Stock Option (Right to Buy) | $18.75 | A | 40000 | Acquired | 2028-03-29 | Common Stock (40000) | Direct |
| 2018-04-02 | Restricted Stock Units | $ | M | 21875 | Acquired | Common Stock (21875) | Direct |
Footnotes
F1: Each restricted stock unit represents a contingent right to receive one share of RCKT common stock.
F2: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.
F3: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates.