SEC Form 4 · accession 0000899243-15-001346
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Devon Park Associates, L.P.
10% Owner
Devon Park Associates, LLC
10% Owner
Devang Kantesaria
10% Owner
Period of report
Jul 14, 2015
Accepted (ET)
Jul 16, 2015 · 8:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281895
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 14, 2015 | M | 9,857 | $4.342 | A | 3,253,566 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3,F2 | $4.342 | Jul 14, 2015 | M | 9,857 | D | — | Aug 28, 2024 | Common Stock | 9,857 | 0 | I |
Explanation of responses
- F1The 9,857 shares of Common Stock were assigned by Dr. Devang Kantesaria to Devon Park Associates, L.P. immediately upon exercise of the underlying options. Dr. Kantesaria, along with Messrs. Marc Ostro and Christopher Moller (collectively, the "Founding Members"), are the founding and managing members of Devon Park Associates, LLC, which is the general partner of Devon Park Associates, L.P. Dr. Kantesaria is contractually obligated to assign the value of these securities to Devon Park Associates, L.P. Each Founding Member further disclaims beneficial ownership of these securities, except to the extent of such Founding Member's pecuniary interest therein, and this report shall not be deemed an admission that the Founding Members are the beneficial owner of such securities for Section16 or any other purposes.
- F2Fully vested.
- F3Options for the purchase of 9,857 shares of Common Stock were held directly by Dr. Kantesaria and assigned to Devon Park Associates, L.P. immediately upon exercise.