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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024
Apr 16, 2024
33148_dirs_2024-04-16_4ce79c44-aa6f-4f31-8559-ccc64346e10b.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: 2024-04-12
Reporting Person: SOUTHWELL DAVID P (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-04-12 | Common Stock | M | 70000 | $4.342 | Acquired | 165160 | Direct |
| 2024-04-12 | Common Stock | S | 59716 | $24.224 | Disposed | 105444 | Direct |
| 2024-04-12 | Common Stock | S | 10284 | $25.156 | Disposed | 95160 | Direct |
| 2024-04-15 | Common Stock | M | 29624 | $4.342 | Acquired | 124784 | Direct |
| 2024-04-15 | Common Stock | S | 10000 | $24.052 | Disposed | 114784 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-04-12 | Stock Option (Right to Buy) | $4.342 | M | 70000 | Disposed | 2024-08-28 | Common Stock (70000) | Direct |
| 2024-04-15 | Stock Option (Right to Buy) | $4.342 | M | 29624 | Disposed | 2024-08-28 | Common Stock (29624) | Direct |
Footnotes
F1: Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024.
F2: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F3: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F4: Shares were sold by the Reporting Person in order to cover certain tax obligations.
F5: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F6: This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018.