Form 4 for RCKT ROCKET PHARMACEUTICALS, INC.
Accepted 2024-05-20 00:00:00 ET · period of report 2024-05-14 · accession 0001140361-24-026878 · 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 | 2024-05-20 | 2024-05-14 | RCKT | Shah Gaurav | CEO, Dir | M - OptEx | $0.00 | +17.7K | 636.5K | +3% | $0 |
| D | 2024-05-20 | 2024-05-16 | RCKT | Shah Gaurav | CEO, Dir | S - Sale+OE | $23.35 | -9,790 | 728.1K | -1% | -$228.6K |
| DM | 2024-05-20 | 2022-02-14+ | RCKT | Shah Gaurav | CEO, Dir | J - Other | $0.00 | +91.7K | 670.1K | +16% | $0 |
| DM | 2024-05-20 | 2024-05-14 | RCKT | Shah Gaurav | CEO, Dir | M - OptEx | $0.00 | -17.7K | 23.9K | -42% | $0 |
| DM | 2024-05-20 | 2022-02-14+ | RCKT | Shah Gaurav | CEO, Dir | J - Other | $0.00 | -91.7K | 0 | -100% | $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 | 2024-05-14 | M | A | 9,683 | $0.00 | 646,134 | 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. |
| 2 | Common | Common Stock | 2024-05-16 | S | D | 9,790 | $23.35 | 728,069 | D | — | — | |
| 3 | Common | Common Stock | 2023-02-14 | J | A | 67,785 | $0.00 | 737,859 | D | — | — | (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. (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. |
| 4 | Common | Common Stock | 2022-02-14 | J | A | 23,940 | $0.00 | 670,074 | D | — | — | (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. (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. |
| 5 | Common | Common Stock | 2024-05-14 | M | A | 7,979 | $0.00 | 636,451 | 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 | Derivative | Restricted Stock Units | 2024-05-14 | M | D | 9,683 | $0.00 | 67,785 | D | — · — to — | 9,683 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. (F5) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 7 | Derivative | Restricted Stock Units | 2024-05-14 | M | D | 7,979 | $0.00 | 23,940 | D | — · — to — | 7,979 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. (F5) 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 | 67,785 | $0.00 | 0 | D | — · — to — | 16,947 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. (F5) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |
| 9 | Derivative | Restricted Stock Units | 2022-02-14 | J | D | 23,940 | $0.00 | 0 | D | — · — to — | 28,763 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. (F5) Each RSU represents a contingent right to receive one share of the Issuer's common stock. |