4//SEC Filing
Shah Gaurav 4
Accession 0001140361-24-026878
CIK 0001281895other
Filed
May 19, 8:00 PM ET
Accepted
May 20, 4:33 PM ET
Size
21.2 KB
Accession
0001140361-24-026878
Insider Transaction Report
Form 4
Shah Gaurav
DirectorCEO
Transactions
- Other
Common Stock
2022-02-14+23,940→ 670,074 total - Exercise/Conversion
Restricted Stock Units
2024-05-14−9,683→ 67,785 total→ Common Stock (9,683 underlying) - Other
Restricted Stock Units
2023-02-14−67,785→ 0 total→ Common Stock (16,947 underlying) - Other
Restricted Stock Units
2022-02-14−23,940→ 0 total→ Common Stock (28,763 underlying) - Exercise/Conversion
Restricted Stock Units
2024-05-14−7,979→ 23,940 total→ Common Stock (7,979 underlying) - Exercise/Conversion
Common Stock
2024-05-14+7,979→ 636,451 total - Exercise/Conversion
Common Stock
2024-05-14+9,683→ 646,134 total - Other
Common Stock
2023-02-14+67,785→ 737,859 total - Sale
Common Stock
2024-05-16$23.35/sh−9,790$228,597→ 728,069 total
Holdings
- 198,341(indirect: By Trust)
Common Stock
- 207,897(indirect: By Spouse)
Common Stock
Footnotes (5)
- [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.
- [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.
- [F4]The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
- [F5]Each RSU represents a contingent right to receive one share of the Issuer's common stock.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001725922
Filing Metadata
- Form type
- 4
- Filed
- May 19, 8:00 PM ET
- Accepted
- May 20, 4:33 PM ET
- Size
- 21.2 KB