SOUTHWELL DAVID P 4
4 · ROCKET PHARMACEUTICALS, INC. · Filed Apr 16, 2024
Insider Transaction Report
Form 4
SOUTHWELL DAVID P
Director
Transactions
- Exercise/Conversion
Common Stock
2024-04-15$4.34/sh+29,624$128,627→ 124,784 total - Sale
Common Stock
2024-04-15$24.05/sh−10,000$240,520→ 114,784 total - Exercise/Conversion
Stock Option (Right to Buy)
2024-04-12$4.34/sh−70,000$303,940→ 29,624 totalExercise: $4.34Exp: 2024-08-28→ Common Stock (70,000 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2024-04-15$4.34/sh−29,624$128,627→ 0 totalExercise: $4.34Exp: 2024-08-28→ Common Stock (29,624 underlying) - Sale
Common Stock
2024-04-12$24.22/sh−59,716$1,446,560→ 105,444 total - Sale
Common Stock
2024-04-12$25.16/sh−10,284$258,704→ 95,160 total - Exercise/Conversion
Common Stock
2024-04-12$4.34/sh+70,000$303,940→ 165,160 total
Footnotes (6)
- [F1]Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024.
- [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.
- [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.
- [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.
- [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.