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

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Stock symbol
RCKT
Transactions as of
Feb 14, 2024
Transactions value $
$0
Form type
4
Date filed
2/16/2024, 04:05 PM
Previous filing
Nov 16, 2023
Next filing
Feb 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 -46.8K -7.53% $0.00 575K Feb 14, 2024 Direct F1
holding RCKT Common Stock 208K Feb 14, 2024 By Spouse
holding RCKT Common Stock 198K Feb 14, 2024 By Gaurav D. Shah Irrevocable Trust

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 -7.98K -20% $0.00 31.9K Feb 14, 2024 Common Stock 7.98K Direct F2, F3
transaction RCKT Restricted Stock Units Options Exercise $0 -38.8K -33.4% $0.00 77.5K Feb 14, 2024 Common Stock 38.8K 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 RSU 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.