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

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Stock symbol
RCKT
Transactions as of
Feb 14, 2022
Transactions value $
$0
Form type
4
Date filed
2/16/2022, 08:02 PM
Previous filing
Feb 8, 2022
Next filing
Jun 13, 2022

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 +297K $0.00 297K Feb 14, 2022 Common Stock 297K $20.00 Direct F1
transaction RCKT Restricted Stock Units Award $0 +95.3K $0.00 95.3K Feb 14, 2022 Common Stock 95.3K 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.