Kinnari Patel - 05 Oct 2023 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
President & Chief Operating Officer
Signature
/s/ Martin Wilson, as attorney-in-fact for Kinnari Patel
Issuer symbol
RCKT
Transactions as of
05 Oct 2023
Transactions value $
$0
Form type
4
Filing time
10 Oct 2023, 16:11:50
Previous filing
21 Aug 2023
Next filing
16 Nov 2023
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 +3.33K +3.39% $0.00 102K 05 Oct 2023 By Adaptive Technology LLC F1, F2
holding RCKT Common Stock 5.68K 05 Oct 2023 By Spouse
holding RCKT Common Stock 216K 05 Oct 2023 Direct

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 -3.33K -100% $0.00* 0 05 Oct 2023 Common Stock 3.33K By Adaptive Technology LLC F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.
F2 The shares are held indirectly through Adaptive Technology, LLC, ("Adaptive Technology") a limited liability company that is owned and managed by the reporting person's husband. The restricted stock units were granted to Adaptive Technology, in connection with a Consulting Agreement for information technology services provided to the Company.
F3 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F4 One-third (1/3) of such RSUs became fully vested and exercisable on October 5, 2021, with the remaining shares vesting in equal annual installments over the following two years.

Remarks:

President & Chief Operating Officer