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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023
May 17, 2023
33148_dirs_2023-05-16_d23aa3b3-2309-4b5b-8fbd-4936a252c5f9.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: 2023-05-14
Reporting Person: Patel Kinnari (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-05-14 | Common Stock | M | 3989 | — | Acquired | 215323 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-05-14 | Restricted Stock Units | $ | M | 3989 | Disposed | Common Stock (3989) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5675 | Indirect |
| Common Stock | 98261 | Indirect |
Footnotes
F1: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.
F2: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
F3: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F4: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.