AI assistant
ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2023
Feb 23, 2023
33148_dirs_2023-02-22_833b4e05-da8f-4210-9c24-25a09c5ded30.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4/A — Form 4/A
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
CIK: 0001281895
Period of Report: 2023-02-14
Reporting Person: Patel Kinnari (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-02-14 | Common Stock | M | 15720 | — | Acquired | 166566 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-02-14 | Stock Option (Right to Buy) | $20.04 | A | 199194 | Acquired | 2033-02-13 | Common Stock (199194) | Direct |
| 2023-02-14 | Restricted Stock Units | $ | A | 66467 | Acquired | Common Stock (66467) | Direct | |
| 2023-02-14 | Restricted Stock Units | $ | M | 15720 | Acquired | Common Stock (15720) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6675 | Indirect |
| Common Stock | 94937 | Indirect |
Footnotes
F1: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.
F2: Represents shares of Common Stock received upon vesting of a restricted stock unit award.
F3: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
F4: This option represents a right to purchase a total of 199,194 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F5: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F6: One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F7: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.