SEC Form 4 · accession 0000899243-16-030296
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Barberich
Director
Period of report
Sep 28, 2016
Accepted (ET)
Sep 29, 2016 · 7:46 am 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 | $9.49 | Sep 28, 2016 | A | 24,000 | A | — | Sep 28, 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 September 28, 2017 and 1/36th of the remaining shares shall vest on each monthly anniversary thereafter, subject to Reporting Person's continued service as a director of the Issuer.