SEC Form 4 · accession 0000899243-17-000861
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Southwell
Officer — President and CEO · Director
Period of report
Jan 6, 2017
Accepted (ET)
Jan 9, 2017 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281895
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 6, 2017 | P | 60,000 | $1.75 | A | 62,765 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.749 to $1.75, inclusive. The reporting person undertakes to provide to Inotek Pharmaceuticals Corporation, any security holder of Inotek Pharmaceuticals Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2Includes 2,765 shares of the Issuer's common stock acquired under the Issuer's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I Information.