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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023
Apr 13, 2023
33148_dirs_2023-04-12_dd9edc92-3094-4bc5-84ff-f61681c72043.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: 2023-04-04
Reporting Person: White Mark Andrew (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-04-04 | Common Stock, par value $0.01 | A | 76662 | — | Acquired | 76662 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-04-04 | Stock Option (Right to Buy) | $17.41 | A | 57739 | Acquired | 2033-04-04 | Common Stock (57739) | Direct |
Footnotes
F1: Holdings are Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on April 4, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F2: This option represents a right to purchase a total of 57,739 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on April 4, 2024, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.