Gaurav Shah - 14 Feb 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
Issuer symbol
RCKT
Transactions as of
14 Feb 2023
Net transactions value
$0
Form type
4/A - Amendment
Filing time
22 Feb 2023, 18:25:39 UTC
Date Of Original Report
16 Feb 2023
Previous filing
13 Jun 2022
Next filing
22 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +31,440 +6.1% $0.000000 549,079 14 Feb 2023 Direct F1, F2
holding RCKT Common Stock 207,897 14 Feb 2023 By Spouse
holding RCKT Common Stock 198,341 14 Feb 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 +348,590 $0.000000 348,590 14 Feb 2023 Common Stock 348,590 $20.04 Direct F3
transaction RCKT Restricted Stock Units Award $0 +116,317 $0.000000 116,317 14 Feb 2023 Common Stock 116,317 Direct F4, F5
transaction RCKT Restricted Stock Units Options Exercise $0 +31,440 +97% $0.000000 63,835 14 Feb 2023 Common Stock 31,440 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.