Kinnari Patel - 14 Feb 2024 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
Issuer symbol
RCKT
Transactions as of
14 Feb 2024
Net transactions value
$0
Form type
4
Filing time
16 Feb 2024, 16:05:49 UTC
Previous filing
16 Nov 2023
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 +26,189 +12% $0.000000 245,478 14 Feb 2024 Direct F1
holding RCKT Common Stock 5,675 14 Feb 2024 By Spouse
holding RCKT Common Stock 101,594 14 Feb 2024 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 -3,990 -20% $0.000000 15,960 14 Feb 2024 Common Stock 3,990 Direct F3, F4
transaction RCKT Restricted Stock Units Options Exercise $0 -22,199 -33% $0.000000 44,268 14 Feb 2024 Common Stock 22,199 Direct F3, F5
* 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.
F5 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal annual installments over the following two years.

Remarks:

President & Chief Operating Officer