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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Jan 17, 2018
33148_dirs_2018-01-16_b8b2c59c-ac37-4f2c-981a-2d8fc848f8db.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2018-01-04
Reporting Person: Batchelder Brian (See Remarks)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.21 | 2026-06-01 | Common Stock (76185) | Direct | |
| Stock Option (Right to Buy) | $1.70 | 2027-04-12 | Common Stock (7618) | Direct |
Footnotes
F1: All numbers give effect to the 1:4 reverse stock split effected by the Issuer on January 4, 2018.
F2: This option represents a right to purchase a total of 76,185 shares of the Issuer's Common Stock 25,598 of which became fully vested and exercisable on June 1, 2017, with the remaining 50,587 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
F3: This option represents a right to purchase a total of 7,618 shares of the Issuer's Common Stock 2,742 of which will become fully vested and exercisable on April 12, 2018, with the remaining 4,876 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.