Form 4/A for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2023-02-22 00:00:00 ET · period of report 2023-02-14 · accession 0001140361-23-008101 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2023-02-22 | 2023-02-14 | RCKT | Schwartz Jonathan David | See Remarks | M - OptEx | $0.00 | +8,574 | 98.1K | +10% | $0 |
| DMA | 2023-02-22 | 2023-02-14 | RCKT | Schwartz Jonathan David | See Remarks | A - Grant | $0.00 | +166.0K | 41.5K | New | $0 |
| DA | 2023-02-22 | 2023-02-14 | RCKT | Schwartz Jonathan David | See Remarks | M - OptEx | $0.00 | +8,574 | 17.4K | +97% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-14 | M | A | 8,574 | $0.00 | 98,103 | D | — | — | (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. |
| 2 | Derivative | Stock Option (Right to Buy) | 2023-02-14 | A | A | 124,496 | $0.00 | 124,496 | D | $20.04 · — to 2033-02-13 | 124,496 Common Stock | (F3) This option represents a right to purchase a total of 124,496 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. |
| 3 | Derivative | Restricted Stock Units | 2023-02-14 | A | A | 41,541 | $0.00 | 41,541 | D | — · — to — | 41,541 Common Stock | (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F5) 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. |
| 4 | Derivative | Restricted Stock Units | 2023-02-14 | M | A | 8,574 | $0.00 | 17,410 | D | — · — to — | 8,574 Common Stock | (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. (F4) 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 became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years. |