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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2021
Feb 17, 2021
33148_dirs_2021-02-16_5335f182-4faf-453a-94f0-db66a7bbef1f.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2020-12-31
Reporting Person: GRANADILLO PEDRO P (N/A)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-12-28 | Stock Option (Right to Buy) | $14.56 | G | 30000 | Disposed | 2029-01-28 | Common Stock (30000) | Direct |
| 2020-12-28 | Stock Option (Right to Buy) | $14.56 | G | 30000 | Acquired | 2029-01-28 | Common Stock (30000) | Indirect |
| 2020-12-28 | Stock Option (Right to Buy) | $18.75 | G | 40000 | Disposed | 2028-03-29 | Common Stock (40000) | Direct |
| 2020-12-28 | Stock Option (Right to Buy) | $18.75 | G | 40000 | Acquired | 2028-03-29 | Common Stock (40000) | Indirect |
| 2020-12-28 | Stock Option (Right to Buy) | $19.9 | G | 20000 | Disposed | 2030-06-16 | Common Stock (20000) | Direct |
| 2020-12-28 | Stock Option (Right to Buy) | $19.9 | G | 20000 | Acquired | 2030-06-16 | Common Stock (20000) | Indirect |
Footnotes
F1: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which are currently vested and exercisable.
F2: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 37,778 of which are currently vested and exercisable, with the remaining 2,222 shares vesting in equal monthly installments on each of February 28, 2021 and March 29, 2021.
F3: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.