| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RCKT | Common Stock | Sale | $216,880 | -10,312 | -0.77% | $21.03 | 1,321,174 | 28 Sep 2023 | By Simran Investment Group | F1, F2, F3 |
| transaction | RCKT | Common Stock | Sale | $98,864 | -4,677 | -0.35% | $21.14 | 1,316,497 | 29 Sep 2023 | By Simran Investment Group | F1, F2, F3 |
| Id | Content |
|---|---|
| F1 | The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement"). |
| F2 | The shares were sold by the reporting person pursuant to an exemption to the Lock-Up Agreement in order to pay certain tax obligations. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement. |
| F3 | The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein. |