Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-02-16 00:00:00 ET · period of report 2024-02-14 · accession 0001140361-24-008359 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-02-16 | 2024-02-14 | RCKT | Shah Gaurav | CEO, Dir | M - OptEx | $0.00 | -46.8K | 575.0K | -8% | $0 |
| DM | 2024-02-16 | 2024-02-14 | RCKT | Shah Gaurav | CEO, Dir | M - OptEx | $0.00 | -46.8K | 31.9K | -59% | $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 | 2024-02-14 | M | D | 46,828 | $0.00 | 575,034 | D | — | — | (F1) Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award. |
| 2 | Derivative | Restricted Stock Units | 2024-02-14 | M | D | 38,849 | $0.00 | 77,468 | D | — · — to — | 38,849 Common Stock | (F2) Each RSU 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 February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years. |
| 3 | Derivative | Restricted Stock Units | 2024-02-14 | M | D | 7,979 | $0.00 | 31,919 | D | — · — to — | 7,979 Common Stock | (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. |