John Militello - 14 Feb 2024 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
VP, Principal Accounting Officer and Interim Principal Financial Officer
Signature
/s/ Martin Wilson, as attorney-in-fact for John Militello
Issuer symbol
RCKT
Transactions as of
14 Feb 2024
Net transactions value
$0
Form type
4
Filing time
16 Feb 2024, 16:05:43 UTC
Previous filing
23 Jan 2024
Next filing
21 Feb 2024
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 +6,274 +62% $0.000000 16,433 14 Feb 2024 Direct F1

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 -725 -20% $0.000000 2,903 14 Feb 2024 Common Stock 725 Direct F2, F3
transaction RCKT Restricted Stock Units Options Exercise $0 -5,549 -35% $0.000000 10,159 14 Feb 2024 Common Stock 5,549 Direct F2, 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 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F3 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.
F4 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Remarks:

VP, Principal Accounting Officer and Interim Principal Financial Officer