Gaurav Shah - 14 Feb 2022 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Issuer symbol
RCKT
Transactions as of
14 Feb 2022
Net transactions value
$0
Form type
4
Filing time
16 Feb 2022, 20:02:29 UTC
Previous filing
08 Feb 2022
Next filing
13 Jun 2022
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RCKT Stock Option (Right to Buy) Award $0 +297,037 $0.000000 297,037 14 Feb 2022 Common Stock 297,037 $20.00 Direct F1
transaction RCKT Restricted Stock Units Award $0 +95,275 $0.000000 95,275 14 Feb 2022 Common Stock 95,275 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This option represents a right to purchase a total of 297,037 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.
F2 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F3 One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.