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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024
May 20, 2024
33148_dirs_2024-05-20_da95dd1a-3bc8-402b-818e-83428db5bdae.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: 2024-05-14
Reporting Person: Shah Gaurav (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-05-14 | Common Stock | M | 7979 | — | Acquired | 636451 | Direct |
| 2024-05-14 | Common Stock | M | 9683 | — | Acquired | 646134 | Direct |
| 2022-02-14 | Common Stock | J | 23940 | — | Acquired | 670074 | Direct |
| 2023-02-14 | Common Stock | J | 67785 | — | Acquired | 737859 | Direct |
| 2024-05-16 | Common Stock | S | 9790 | $23.35 | Disposed | 728069 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-05-14 | Restricted Stock Units | $ | M | 7979 | Disposed | Common Stock (7979) | Direct | |
| 2024-05-14 | Restricted Stock Units | $ | M | 9683 | Disposed | Common Stock (9683) | Direct | |
| 2022-02-14 | Restricted Stock Units | $ | J | 23940 | Disposed | Common Stock (28763) | Direct | |
| 2023-02-14 | Restricted Stock Units | $ | J | 67785 | Disposed | Common Stock (16947) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 207897 | Indirect |
| Common Stock | 198341 | Indirect |
Footnotes
F1: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.
F2: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.
F3: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.
F4: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
F5: Each RSU represents a contingent right to receive one share of the Issuer's common stock.