SEC Form 4 · accession 0000899243-16-016568
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William K. McVicar
Officer — See Remarks
Period of report
Mar 22, 2016
Accepted (ET)
Mar 24, 2016 · 8:49 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)F2,F1 | $7.56 | Mar 22, 2016 | A | 135,000 | A | — | Mar 21, 2026 | Common Stock | 135,000 | 135,000 | D |
Explanation of responses
- F1The stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). 25% of the options granted shall vest on the one year anniversary of January 1, 2016 and 1/36th of the remaining option grant shall vest on each monthly anniversary thereafter, subject to continued service through such dates.
- F2As previously reported on June 26, 2015, the Reporting Person was granted a stock option award under the Plan. The total beneficially owned derivative securities following the grant inadvertently included securities of a separate class, and accordingly such previously inadvertently reported shares are now properly excluded. In addition, the Price of Derivative Security reported on the June 26, 2015 Form 4 was inadvertently reported as $5.03 when it should have properly been recorded as $0.
Remarks
Executive Vice President, Chief Scientific Officer