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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2018
Jan 17, 2018
33148_dirs_2018-01-16_0a611995-87dc-4d24-b0d4-ab89d3790315.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: Schwartz Jonathan David (Chief Medical Officer)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.21 | 2026-02-08 | Common Stock (251410) | Direct | |
| Stock Option (Right to Buy) | $1.70 | 2027-04-12 | Common Stock (11427) | 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 251,410 shares of the Issuer's Common Stock 83,803 of which became fully vested and exercisable on February 8, 2017, with the remaining 167,607 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 11,427 shares of the Issuer's Common Stock 4,113 of which will become fully vested and exercisable on April 12, 2018, with the remaining 7,314 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.