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

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Issuer symbol
RCKT
Transactions as of
14 Feb 2024
Net transactions value
$0
Form type
4
Filing time
16 Feb 2024, 16:05:51 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 -46,828 -7.5% $0.000000 575,034 14 Feb 2024 Direct F1
holding RCKT Common Stock 207,897 14 Feb 2024 By Spouse
holding RCKT Common Stock 198,341 14 Feb 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 -7,979 -20% $0.000000 31,919 14 Feb 2024 Common Stock 7,979 Direct F2, F3
transaction RCKT Restricted Stock Units Options Exercise $0 -38,849 -33% $0.000000 77,468 14 Feb 2024 Common Stock 38,849 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.