Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-04-16 00:00:00 ET · period of report 2024-04-12 · accession 0001140361-24-020127 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-04-16 | 2024-04-12+ | RCKT | SOUTHWELL DAVID P | Dir | M - OptEx | $4.34 | +99.6K | 124.8K | +396% | +$432.4K |
| DM | 2024-04-16 | 2024-04-12+ | RCKT | SOUTHWELL DAVID P | Dir | S - Sale+OE | $24.32 | -80.0K | 95.2K | -46% | -$1.95M |
| DM | 2024-04-16 | 2024-04-12+ | RCKT | SOUTHWELL DAVID P | Dir | M - OptEx | $4.34 | -99.6K | 0 | -100% | -$432.4K |
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 | 2024-04-12 | M | A | 70,000 | $4.34 | 165,160 | D | — | — | (F1) Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024. |
| 2 | Common | Common Stock | 2024-04-12 | S | D | 59,716 | $24.22 | 105,444 | D | — | — | (F4) Shares were sold by the Reporting Person in order to cover certain tax obligations. (F2) Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. 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. |
| 3 | Common | Common Stock | 2024-04-15 | S | D | 10,000 | $24.05 | 114,784 | D | — | — | (F4) Shares were sold by the Reporting Person in order to cover certain tax obligations. (F5) Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. 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. |
| 4 | Common | Common Stock | 2024-04-15 | M | A | 29,624 | $4.34 | 124,784 | D | — | — | (F1) Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024. |
| 5 | Common | Common Stock | 2024-04-12 | S | D | 10,284 | $25.16 | 95,160 | D | — | — | (F4) Shares were sold by the Reporting Person in order to cover certain tax obligations. (F3) Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. 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. |
| 6 | Derivative | Stock Option (Right to Buy) | 2024-04-12 | M | D | 70,000 | $4.34 | 29,624 | D | $4.34 · — to 2024-08-28 | 70,000 Common Stock | (F6) This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018. |
| 7 | Derivative | Stock Option (Right to Buy) | 2024-04-15 | M | D | 29,624 | $4.34 | 0 | D | $4.34 · — to 2024-08-28 | 29,624 Common Stock | (F6) This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018. |