Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-03-04 00:00:00 ET · period of report 2024-02-29 · accession 0001140361-24-011170 · 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 | 2024-03-04 | 2024-02-29 | RCKT | Militello John | See Remarks | S - Sale+OE | $29.85 | -10.0K | 21.5K | -32% | -$298.5K |
| D | 2024-03-04 | 2024-02-29 | RCKT | Militello John | See Remarks | M - OptEx | $12.55 | +10.0K | 31.5K | +46% | +$125.5K |
| D | 2024-03-04 | 2024-02-29 | RCKT | Militello John | See Remarks | M - OptEx | $12.55 | -10.0K | 0 | -100% | -$125.5K |
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 | 2024-02-29 | S | D | 10,000 | $29.85 | 21,517 | D | — | — | (F2) Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $29.78 to $29.91. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
| 2 | Common | Common Stock | 2024-02-29 | M | A | 10,000 | $12.55 | 31,517 | D | — | — | (F1) Represents shares received upon exercise of a Stock Option. |
| 3 | Derivative | Stock Option (Right to Buy) | 2024-02-29 | M | D | 10,000 | $12.55 | 0 | D | $12.55 · — to 2028-01-28 | 10,000 Common Stock | (F3) This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on January 8, 2019, with the remaining two-thirds vesting in equal quarterly installments over the following two years. |