John Militello - 29 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
29 Feb 2024
Net transactions value
-$298,450
Form type
4
Filing time
04 Mar 2024, 18:54:22 UTC
Previous filing
21 Feb 2024
Next filing
25 Mar 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 $125,500 +10,000 +46% $12.55 31,517 29 Feb 2024 Direct F1
transaction RCKT Common Stock Sale $298,450 -10,000 -32% $29.84 21,517 29 Feb 2024 Direct 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 Stock Option (Right to Buy) Options Exercise $125,500 -10,000 -100% $12.55 0 29 Feb 2024 Common Stock 10,000 $12.55 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares received upon exercise of a Stock Option.
F2 Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $29.78 to $29.91. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F3 This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on January 8, 2019, with the remaining two-thirds vesting in equal quarterly installments over the following two years.

Remarks:

VP, Principal Accounting Officer and Interim Principal Financial Officer