SEC Form 4 · accession 0000899243-16-023624
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Martin Carroll
Director
Period of report
Jun 23, 2016
Accepted (ET)
Jun 27, 2016 · 4:05 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 | $7.61 | Jun 23, 2016 | A | 12,000 | A | — | Jun 22, 2026 | Common Stock | 12,000 | 12,000 | D |
| Stock Options (Right to Buy)F2 | $7.61 | Jun 23, 2016 | A | 51,000 | A | — | Jun 22, 2026 | Common Stock | 51,000 | 51,000 | D |
Explanation of responses
- F1This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 23, 2016, subject to continued service through such dates.
- F2This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest as follows: 25% of the shares shall be vested on June 23, 2017 and 1/36th of the remaining shares shall vest on each monthly anniversary thereafter so long as the Reporting Person is a director of the Issuer on such date.