Gaurav Shah - Nov 14, 2023 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
Nov 14, 2023
Transactions value $
$0
Form type
4
Date filed
11/16/2023, 07:09 PM
Previous filing
Aug 21, 2023
Next filing
Feb 16, 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 -7.98K -1.48% $0.00 533K Nov 14, 2023 Direct F1
holding RCKT Common Stock 208K Nov 14, 2023 By Spouse
holding RCKT Common Stock 198K Nov 14, 2023 By Gaurav D. Shah Irrevocable Trust

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 -16.67% $0.00 39.9K Nov 14, 2023 Common Stock 7.98K Direct F2, F3
* 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 Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
F3 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.