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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Jan 17, 2018
33148_dirs_2018-01-16_26240e0f-cd78-41f0-91ea-58fa5b3f0117.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: Shah Gaurav (Director, See Remarks)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 761850 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.44 | 2025-12-15 | Common Stock (380925) | Direct | |
| Stock Option (Right to Buy) | $1.70 | 2027-04-12 | Common Stock (152370) | 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 380,925 shares of the Issuer's Common Stock 127,381 of which became fully vested and exercisable on December 15, 2016, with the remaining 253,544 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 152,370 shares of the Issuer's Common Stock 51,196 of which will become fully vested and exercisable on April 12, 2018, with the remaining 101,174 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.