4//SEC Filing
Patel Kinnari 4
Accession 0001140361-24-008889
CIK 0001281895other
Filed
Feb 20, 7:00 PM ET
Accepted
Feb 21, 8:54 PM ET
Size
11.3 KB
Accession
0001140361-24-008889
Insider Transaction Report
Form 4
Patel Kinnari
See Remarks
Transactions
- Award
Common Stock
2024-02-16+33,288→ 271,634 total - Sale
Common Stock
2024-02-16$29.84/sh−7,132$212,805→ 238,346 total - Award
Stock Option (Right to Buy)
2024-02-16+98,183→ 98,183 totalExercise: $30.01Exp: 2034-02-16→ Common Stock (98,183 underlying)
Holdings
- 101,594(indirect: By LLC)
Common Stock
- 5,675(indirect: By Spouse)
Common Stock
Footnotes (6)
- [F1]The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").
- [F2]The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.
- [F3]The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.
- [F4]Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.
- [F5]The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
- [F6]This option represents a right to purchase a total of 98,183 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001725929
Filing Metadata
- Form type
- 4
- Filed
- Feb 20, 7:00 PM ET
- Accepted
- Feb 21, 8:54 PM ET
- Size
- 11.3 KB