SEC Form 3 · accession 0000899243-18-001101
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gotham Makker
Director
Period of report
Jan 4, 2018
Accepted (ET)
Jan 16, 2018 · 8:00 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 | holding | — | — | — | 1,331,486 | I | By Simran Investment Group |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All numbers give effect to the 1:4 reverse stock split effected by the Issuer on January 4, 2018.
- F2The securities reported herein may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group.
Remarks
Exhibit 24 - Power of Attorney