Martin Louis Wilson - 14 May 2024 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
General Counsel
Signature
/s/ Martin Louis Wilson
Issuer symbol
RCKT
Transactions as of
14 May 2024
Net transactions value
-$24,471
Form type
4
Filing time
20 May 2024, 16:29:47 UTC
Previous filing
04 Mar 2024
Next filing
20 Aug 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 +2,420 +13% $0.000000 21,100 14 May 2024 Direct F1
transaction RCKT Common Stock Other $0 +28,763 +136% $0.000000 49,863 12 Aug 2022 Direct F2, F3
transaction RCKT Common Stock Other $0 +16,947 +34% $0.000000 66,810 14 Feb 2023 Direct F1, F2
transaction RCKT Common Stock Sale $24,471 -1,048 -1.6% $23.35 65,762 16 May 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 Options Exercise $0 -2,420 -12% $0.000000 16,947 14 May 2024 Common Stock 2,420 Direct F1, F5
transaction RCKT Restricted Stock Units Other $0 -28,763 -100% $0.000000* 0 12 Aug 2022 Common Stock 28,763 Direct F2, F3, F5
transaction RCKT Restricted Stock Units Other $0 -16,947 -100% $0.000000* 0 14 Feb 2023 Common Stock 16,947 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 RSUs initially granted on February 14, 2023. 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.
F2 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.
F3 Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.
F4 The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
F5 Each RSU represents a contingent right to receive one share of the Issuer's common stock.