SEC Form 4 · accession 0000899243-17-001543
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale Ritter
Officer — Vice President, Finance
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 4:31 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 17, 2017 | A | 50,000 | A | — | Jan 16, 2027 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.
- F2The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). The restricted stock units shall vest in equal 25% tranches every 6 months over a 2 year period from the date of grant, subject to continued service through such dates.