Jonathan David Schwartz - 14 Feb 2023 Form 4/A - Amendment Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Chief Medical Officer & Clinical Development, SVP
Signature
/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz
Issuer symbol
RCKT
Transactions as of
14 Feb 2023
Net transactions value
$0
Form type
4/A - Amendment
Filing time
22 Feb 2023, 18:25:59 UTC
Date Of Original Report
16 Feb 2023
Previous filing
15 Sep 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 +8,574 +9.6% $0.000000 98,103 14 Feb 2023 Direct F1, F2

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 +124,496 $0.000000 124,496 14 Feb 2023 Common Stock 124,496 $20.04 Direct F3
transaction RCKT Restricted Stock Units Award $0 +41,541 $0.000000 41,541 14 Feb 2023 Common Stock 41,541 Direct F4, F5
transaction RCKT Restricted Stock Units Options Exercise $0 +8,574 +97% $0.000000 17,410 14 Feb 2023 Common Stock 8,574 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 124,496 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.

Remarks:

Chief Medical Officer & Clinical Development, SVP