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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Apr 3, 2018
33148_dirs_2018-04-02_9337405f-22ee-43d5-ba64-bd8542644d03.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: Makker Gotham (Director)
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 |
| 2018-03-29 | Stock Option (Right to Buy) | $18.75 | A | 3300 | Acquired | 2028-03-29 | Common Stock (3300) | Direct |
Footnotes
F1: 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.
F2: This option represents a right to purchase a total of 3,300 shares of the Issuer's Common Stock, 1,116 of which will become fully vested and exercisable on March 29, 2019, with the remaining 2,184 shares vesting in equal monthly installments over the following two years. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.