Gaurav Shah - Feb 14, 2023 Form 4/A - Amendment 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, 2023
Transactions value $
$0
Form type
4/A - Amendment
Date filed
2/22/2023, 06:25 PM
Date Of Original Report
Feb 16, 2023
Previous filing
Jun 13, 2022
Next filing
Feb 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +31.4K +6.07% $0.00 549K Feb 14, 2023 Direct F1, F2
holding RCKT Common Stock 208K Feb 14, 2023 By Spouse
holding RCKT Common Stock 198K Feb 14, 2023 By Gaurav D. Shah Irrevocable Trust

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 +349K $0.00 349K Feb 14, 2023 Common Stock 349K $20.04 Direct F3
transaction RCKT Restricted Stock Units Award $0 +116K $0.00 116K Feb 14, 2023 Common Stock 116K Direct F4, F5
transaction RCKT Restricted Stock Units Options Exercise $0 +31.4K +97.05% $0.00 63.8K Feb 14, 2023 Common Stock 31.4K Direct F1, F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.
F2 Represents shares of Common Stock received upon vesting of a restricted stock unit award.
F3 This option represents a right to purchase a total of 348,590 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F4 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F5 One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F6 One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.