4//SEC Filing
Patel Kinnari 4
Accession 0001140361-24-026871
CIK 0001281895other
Filed
May 19, 8:00 PM ET
Accepted
May 20, 4:26 PM ET
Size
25.1 KB
Accession
0001140361-24-026871
Insider Transaction Report
Form 4
Patel Kinnari
See Remarks
Transactions
- Exercise/Conversion
Restricted Stock Units
2024-05-14−3,990→ 11,970 total→ Common Stock (3,990 underlying) - Other
Restricted Stock Units
2022-08-12−52,489→ 0 total→ Common Stock (52,489 underlying) - Exercise/Conversion
Common Stock
2024-05-14+5,553→ 301,824 total - Other
Common Stock
2023-02-14+38,735→ 405,018 total - Exercise/Conversion
Restricted Stock Units
2024-05-14−5,533→ 38,735 total→ Common Stock (5,533 underlying) - Other
Common Stock
2022-08-12+52,489→ 366,283 total - Other
Restricted Stock Units
2023-02-14−38,735→ 0 total→ Common Stock (38,735 underlying) - Sale
Common Stock
2024-05-16$23.35/sh−4,046$94,474→ 400,972 total - Other
Restricted Stock Units
2022-02-14−11,970→ 0 total→ Common Stock (11,970 underlying) - Exercise/Conversion
Common Stock
2024-05-14+3,990→ 296,291 total - Other
Common Stock
2022-02-14+11,970→ 313,794 total
Holdings
- 5,675(indirect: By Spouse)
Common Stock
- 104,927(indirect: By LLC)
Common Stock
Footnotes (7)
- [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]Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025.
- [F5]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.
- [F6]The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
- [F7]Each RSU represents a contingent right to receive one share of the Issuer's common stock.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001725929
Filing Metadata
- Form type
- 4
- Filed
- May 19, 8:00 PM ET
- Accepted
- May 20, 4:26 PM ET
- Size
- 25.1 KB