Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-05-20 00:00:00 ET · period of report 2024-05-14 · accession 0001140361-24-026871 · 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 | 2024-05-20 | 2024-05-16 | RCKT | Patel Kinnari | See Remarks | S - Sale+OE | $23.35 | -4,046 | 401.0K | -1.0% | -$94.5K |
| DM | 2024-05-20 | 2022-02-14+ | RCKT | Patel Kinnari | See Remarks | J - Other | $0.00 | +103.2K | 313.8K | +49% | $0 |
| DM | 2024-05-20 | 2024-05-14 | RCKT | Patel Kinnari | See Remarks | M - OptEx | $0.00 | +9,543 | 296.3K | +3% | $0 |
| DM | 2024-05-20 | 2022-02-14+ | RCKT | Patel Kinnari | See Remarks | J - Other | $0.00 | -103.2K | 0 | -100% | $0 |
| DM | 2024-05-20 | 2024-05-14 | RCKT | Patel Kinnari | See Remarks | M - OptEx | $0.00 | -9,523 | 38.7K | -20% | $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 | 2024-05-16 | S | D | 4,046 | $23.35 | 400,972 | D | — | — | |
| 2 | Common | Common Stock | 2023-02-14 | J | A | 38,735 | $0.00 | 405,018 | D | — | — | (F2) Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F3) Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. |
| 3 | Common | Common Stock | 2022-08-12 | J | A | 52,489 | $0.00 | 366,283 | D | — | — | (F4) Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025. (F3) Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. |
| 4 | Common | Common Stock | 2024-05-14 | M | A | 5,553 | $0.00 | 301,824 | D | — | — | (F2) Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. |
| 5 | Common | Common Stock | 2024-05-14 | M | A | 3,990 | $0.00 | 296,291 | D | — | — | (F1) Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. |
| 6 | Common | Common Stock | 2022-02-14 | J | A | 11,970 | $0.00 | 313,794 | D | — | — | (F1) Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F3) Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. |
| 7 | Derivative | Restricted Stock Units | 2022-08-12 | J | D | 52,489 | $0.00 | 0 | D | — · — to — | 52,489 Common Stock | (F4) Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025. (F7) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 8 | Derivative | Restricted Stock Units | 2023-02-14 | J | D | 38,735 | $0.00 | 0 | D | — · — to — | 38,735 Common Stock | (F2) Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F7) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 9 | Derivative | Restricted Stock Units | 2024-05-14 | M | D | 3,990 | $0.00 | 11,970 | D | — · — to — | 3,990 Common Stock | (F1) Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F7) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 10 | Derivative | Restricted Stock Units | 2024-05-14 | M | D | 5,533 | $0.00 | 38,735 | D | — · — to — | 5,533 Common Stock | (F2) Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F7) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 11 | Derivative | Restricted Stock Units | 2022-02-14 | J | D | 11,970 | $0.00 | 0 | D | — · — to — | 11,970 Common Stock | (F1) Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. (F7) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |