John Militello - 21 Mar 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
21 Mar 2024
Net transactions value
-$69,979
Form type
4
Filing time
25 Mar 2024, 20:54:59 UTC
Previous filing
04 Mar 2024
Next filing
24 Apr 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 Other $0 +2,903 +13% $0.000000 24,420 14 Feb 2022 Direct F1, F2
transaction RCKT Common Stock Other $0 +7,932 +32% $0.000000 32,352 18 Apr 2022 Direct F1, F2
transaction RCKT Common Stock Other $0 +14,310 +44% $0.000000 46,662 12 Aug 2022 Direct F1, F3
transaction RCKT Common Stock Other $0 +11,067 +24% $0.000000 57,729 14 Feb 2023 Direct F1, F2
transaction RCKT Common Stock Sale $69,979 -2,490 -4.3% $28.10 55,239 21 Mar 2024 Direct F4

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 Other $0 +2,903 $0.000000* 0 14 Feb 2022 Common Stock 2,903 Direct F1, F2, F5
transaction RCKT Restricted Stock Units Other $0 +7,932 $0.000000* 0 18 Apr 2022 Common Stock 7,932 Direct F1, F2, F5
transaction RCKT Restricted Stock Units Other $0 +14,310 $0.000000* 0 12 Aug 2022 Common Stock 14,310 Direct F1, F3, F5
transaction RCKT Restricted Stock Units Other $0 +11,067 $0.000000* 0 14 Feb 2023 Common Stock 2,903 Direct F1, F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.
F2 One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.
F3 Vests in full on August 12, 2025.
F4 The shares of common stock were sold by the Reporting Person in order to pay tax obligations in connection with the vesting of RSUs over the course of 2023.
F5 Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Remarks:

VP, Principal Accounting Officer and Interim Principal Financial Officer