Gaurav Shah - May 14, 2024 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Stock symbol
RCKT
Transactions as of
May 14, 2024
Transactions value $
-$228,597
Form type
4
Date filed
5/20/2024, 04:33 PM
Previous filing
Feb 21, 2024
Next filing
Aug 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +7.98K +1.27% $0.00 636K May 14, 2024 Direct F1
transaction RCKT Common Stock Options Exercise $0 +9.68K +1.52% $0.00 646K May 14, 2024 Direct F2
transaction RCKT Common Stock Other $0 +23.9K +3.71% $0.00 670K Feb 14, 2022 Direct F1, F3
transaction RCKT Common Stock Other $0 +67.8K +10.12% $0.00 738K Feb 14, 2023 Direct F2, F3
transaction RCKT Common Stock Sale -$229K -9.79K -1.33% $23.35 728K May 16, 2024 Direct F4
holding RCKT Common Stock 208K May 14, 2024 By Spouse F1
holding RCKT Common Stock 198K May 14, 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 -7.98K -25% $0.00 23.9K May 14, 2024 Common Stock 7.98K Direct F1, F5
transaction RCKT Restricted Stock Units Options Exercise $0 -9.68K -12.5% $0.00 67.8K May 14, 2024 Common Stock 9.68K Direct F2, F5
transaction RCKT Restricted Stock Units Other $0 -23.9K -100% $0.00* 0 Feb 14, 2022 Common Stock 28.8K Direct F1, F3, F5
transaction RCKT Restricted Stock Units Other $0 -67.8K -100% $0.00* 0 Feb 14, 2023 Common Stock 16.9K 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.