Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2023-10-10 00:00:00 ET · period of report 2023-10-05 · accession 0001140361-23-047589 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-10-10 | 2023-10-05 | RCKT | Patel Kinnari | See Remarks | M - OptEx | $0.00 | +3,333 | 101.6K | +3% | $0 |
| DI | 2023-10-10 | 2023-10-05 | RCKT | Patel Kinnari | See Remarks | M - OptEx | $0.00 | -3,333 | 0 | -100% | $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 | 2023-10-05 | M | A | 3,333 | $0.00 | 101,594 | I By Adaptive Technology LLC | — | — | (F1) Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award. (F2) The shares are held indirectly through Adaptive Technology, LLC, ("Adaptive Technology") a limited liability company that is owned and managed by the reporting person's husband. The restricted stock units were granted to Adaptive Technology, in connection with a Consulting Agreement for information technology services provided to the Company. |
| 2 | Derivative | Restricted Stock Units | 2023-10-05 | M | D | 3,333 | $0.00 | 0 | I By Adaptive Technology LLC | — · — to — | 3,333 Common Stock | (F2) The shares are held indirectly through Adaptive Technology, LLC, ("Adaptive Technology") a limited liability company that is owned and managed by the reporting person's husband. The restricted stock units were granted to Adaptive Technology, in connection with a Consulting Agreement for information technology services provided to the Company. (F3) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F4) One-third (1/3) of such RSUs became fully vested and exercisable on October 5, 2021, with the remaining shares vesting in equal annual installments over the following two years. |