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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024
Mar 5, 2024
33148_dirs_2024-03-04_26df29b3-71b7-440e-8ee3-9fe34d686868.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: 2024-02-29
Reporting Person: Militello John (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-02-29 | Common Stock | M | 10000 | $12.55 | Acquired | 31517 | Direct |
| 2024-02-29 | Common Stock | S | 10000 | $29.845 | Disposed | 21517 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-02-29 | Stock Option (Right to Buy) | $12.55 | M | 10000 | Disposed | 2028-01-28 | Common Stock (10000) | Direct |
Footnotes
F1: Represents shares received upon exercise of a Stock Option.
F2: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $29.78 to $29.91. 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: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on January 8, 2019, with the remaining two-thirds vesting in equal quarterly installments over the following two years.