SEC Form 4 · accession 0000899243-15-006634
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary M. Phillips
Director
Period of report
Oct 13, 2015
Accepted (ET)
Oct 13, 2015 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281895
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $9.50 | Oct 13, 2015 | A | 24,000 | A | — | Oct 12, 2025 | Common Stock | 24,000 | 24,000 | D |
Explanation of responses
- F1This stock option award was issued pursuant to Issuer's 2014 Stock Option and Incentive Plan and shall vest as follows: 25% of the shares shall be vested on October 13, 2016 and 1/36th of the remaining shares shall vest on each monthly anniversary thereafter so long as the Reporting Person is director of the Company on such date.
Remarks
Exhibit List Exhibit 24 - Power of Attorney