4//SEC Filing
Makker Gotham 4
Accession 0001140361-25-026408
CIK 0001281895other
Filed
Jul 17, 8:00 PM ET
Accepted
Jul 18, 4:05 PM ET
Size
8.4 KB
Accession
0001140361-25-026408
Insider Transaction Report
Form 4
Makker Gotham
Director
Transactions
- Award
Common Stock
2025-06-18+19,434→ 415,346 total(indirect: By Simran Investment Group) - Award
Common Stock
2025-06-18+30,000→ 395,912 total(indirect: By Simran Investment Group)
Holdings
- 621,500(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026.
- [F2]Represents RSUs issued to the Reporting Person in lieu of director retainer fees of $55,000. The RSUs will vest in full on June 18, 2026.
- [F3]The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.
- [F4]The securities may be deemed to be beneficially owned by the reporting person and are held by a non-revocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust.
Documents
Issuer
ROCKET PHARMACEUTICALS, INC.
CIK 0001281895
Entity typeother
Related Parties
1- filerCIK 0001726391
Filing Metadata
- Form type
- 4
- Filed
- Jul 17, 8:00 PM ET
- Accepted
- Jul 18, 4:05 PM ET
- Size
- 8.4 KB