Form 4/A for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2023-10-20 00:00:00 ET · period of report 2023-02-17 · accession 0001140361-23-049079 · 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 | 2023-10-20 | 2023-10-18 | RCKT | Militello John | See Remarks | M - OptEx | $0.00 | +1,586 | 9,324 | +20% | $0 |
| DA | 2023-10-20 | 2023-02-17 | RCKT | Militello John | See Remarks | S - Sale+OE | $19.06 | -1,076 | 1,782 | -38% | -$20.5K |
| DA | 2023-10-20 | 2023-10-18 | RCKT | Militello John | See Remarks | M - OptEx | $0.00 | -1,586 | 9,518 | -14% | $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 | 2023-10-18 | M | A | 1,586 | $0.00 | 9,324 | D | — | — | (F4) Represents shares of Common Stock received upon vesting of an RSU award. (F2) The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4. |
| 2 | Common | Common Stock | 2023-02-17 | S | D | 1,076 | $19.06 | 1,782 | D | — | — | (F1) This Form 4 corrects an error on the original Form 4 filed on February 22, 2023. The original Form 4 stated that the Reporting Person sold 1,244 shares of the Issuer's common stock to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The Reporting Person sold 1,076 shares of the Issuer's common stock on February 17, 2023 to cover tax withholding obligations in connection with the vesting of RSUs. (F3) This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. (F2) The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4. |
| 3 | Derivative | Restricted Stock Units | 2023-10-18 | M | D | 1,586 | $0.00 | 9,518 | D | — · — to — | 1,586 Common Stock | (F5) Each RSU represents a contingent right to receive one share of the Issuer's common stock. (F6) One-third (1/3) of such RSUs became fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years. |