Kinnari Patel - Nov 14, 2023 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
President & Chief Operating Officer
Signature
/s/ Martin Wilson, as attorney-in-fact for Kinnari Patel
Stock symbol
RCKT
Transactions as of
Nov 14, 2023
Transactions value $
$0
Form type
4
Date filed
11/16/2023, 07:17 PM
Previous filing
Oct 10, 2023
Next filing
Feb 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +3.99K +1.84% $0.00 220K Nov 14, 2023 Direct F1
holding RCKT Common Stock 5.68K Nov 14, 2023 By Spouse
holding RCKT Common Stock 102K Nov 14, 2023 By Adaptive Technology LLC 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 Restricted Stock Units Options Exercise $0 -3.99K -16.66% $0.00 20K Nov 14, 2023 Common Stock 3.99K Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.
F2 The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
F3 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F4 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

Remarks:

President & Chief Operating Officer