Gaurav Shah - 14 May 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 May 2024
Net transactions value
-$228,596
Form type
4
Filing time
20 May 2024, 16:33:07 UTC
Previous filing
21 Feb 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 +7,979 +1.3% $0.000000 636,451 14 May 2024 Direct F1
transaction RCKT Common Stock Options Exercise $0 +9,683 +1.5% $0.000000 646,134 14 May 2024 Direct F2
transaction RCKT Common Stock Other $0 +23,940 +3.7% $0.000000 670,074 14 Feb 2022 Direct F1, F3
transaction RCKT Common Stock Other $0 +67,785 +10% $0.000000 737,859 14 Feb 2023 Direct F2, F3
transaction RCKT Common Stock Sale $228,596 -9,790 -1.3% $23.35 728,069 16 May 2024 Direct F4
holding RCKT Common Stock 207,897 14 May 2024 By Spouse F1
holding RCKT Common Stock 198,341 14 May 2024 By Gaurav D. Shah Irrevocable Trust F1

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 -25% $0.000000 23,940 14 May 2024 Common Stock 7,979 Direct F1, F5
transaction RCKT Restricted Stock Units Options Exercise $0 -9,683 -12% $0.000000 67,785 14 May 2024 Common Stock 9,683 Direct F2, F5
transaction RCKT Restricted Stock Units Other $0 -23,940 -100% $0.000000* 0 14 Feb 2022 Common Stock 28,763 Direct F1, F3, F5
transaction RCKT Restricted Stock Units Other $0 -67,785 -100% $0.000000* 0 14 Feb 2023 Common Stock 16,947 Direct F2, F3, 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, 2022. 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 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.
F3 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.
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.