SEC Form 4 · accession 0000899243-16-011567
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carsten Boess
Director
Period of report
Jan 11, 2016
Accepted (ET)
Jan 12, 2016 · 5:35 pm EST
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 | $8.89 | Jan 11, 2016 | A | 24,000 | A | — | Jan 11, 2026 | 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 January 11, 2017 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