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ROCKET PHARMACEUTICALS, INC. — Director's Dealing 2024
Feb 16, 2024
33148_dirs_2024-02-16_ca60eca5-6961-4a5a-834f-86cff075fecb.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: 2024-02-14
Reporting Person: Shah Gaurav (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-02-14 | Common Stock | M | 46828 | — | Disposed | 575034 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-02-14 | Restricted Stock Units | $ | M | 7979 | Disposed | Common Stock (7979) | Direct | |
| 2024-02-14 | Restricted Stock Units | $ | M | 38849 | Disposed | Common Stock (38849) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 207897 | Indirect |
| Common Stock | 198341 | Indirect |
Footnotes
F1: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.
F2: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F3: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.
F4: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.