David P. Southwell - 12 Apr 2024 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director
Signature
/s/ Martin Wilson, as attorney-in-fact for David Southwell
Issuer symbol
RCKT
Transactions as of
12 Apr 2024
Net transactions value
-$1,945,785
Form type
4
Filing time
16 Apr 2024, 17:45:27 UTC
Previous filing
16 Feb 2024
Next filing
20 May 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 $303,940 +70,000 +74% $4.34 165,160 12 Apr 2024 Direct F1
transaction RCKT Common Stock Sale $1,446,560 -59,716 -36% $24.22 105,444 12 Apr 2024 Direct F2, F4
transaction RCKT Common Stock Sale $258,704 -10,284 -9.8% $25.16 95,160 12 Apr 2024 Direct F3, F4
transaction RCKT Common Stock Options Exercise $128,627 +29,624 +31% $4.34 124,784 15 Apr 2024 Direct F1
transaction RCKT Common Stock Sale $240,520 -10,000 -8% $24.05 114,784 15 Apr 2024 Direct F4, F5

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 $303,940 -70,000 -70% $4.34 29,624 12 Apr 2024 Common Stock 70,000 $4.34 Direct F6
transaction RCKT Stock Option (Right to Buy) Options Exercise $128,627 -29,624 -100% $4.34 0 15 Apr 2024 Common Stock 29,624 $4.34 Direct F6
* 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 Stock Options, which would otherwise expire in August 2024.
F2 Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. 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 Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. 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.
F4 Shares were sold by the Reporting Person in order to cover certain tax obligations.
F5 Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. 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.
F6 This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018.