4//SEC Filing
Shah Gaurav 4
Accession 0001140361-24-008886
CIK 0001281895other
Filed
Feb 20, 7:00 PM ET
Accepted
Feb 21, 8:54 PM ET
Size
11.0 KB
Accession
0001140361-24-008886
Insider Transaction Report
Form 4
Shah Gaurav
DirectorCEO
Transactions
- Award
Stock Option (Right to Buy)
2024-02-16+196,336→ 196,336 totalExercise: $30.01Exp: 2034-02-16→ Common Stock (196,336 underlying) - Sale
Common Stock
2024-02-16$29.84/sh−20,272$604,876→ 554,762 total - Award
Common Stock
2024-02-16+66,577→ 621,339 total
Holdings
- 207,897(indirect: By Spouse)
Common Stock
- 198,341(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").
- [F2]The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.
- [F3]The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.
- [F4]Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.
- [F5]This option represents a right to purchase a total of 196,336 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001725922
Filing Metadata
- Form type
- 4
- Filed
- Feb 20, 7:00 PM ET
- Accepted
- Feb 21, 8:54 PM ET
- Size
- 11.0 KB