SEC Form 4 · accession 0000899243-18-009118
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gaurav Shah
Officer — See Remarks · Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 8:12 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 Option (Right to Buy)F1 | $18.75 | Mar 29, 2018 | A | 395,000 | A | — | Mar 29, 2028 | Common Stock | 395,000 | 395,000 | D |
Explanation of responses
- F1This option represents a right to purchase a total of 395,000 shares of the Issuer's Common Stock, 131,672 of which will become fully vested and exercisable on March 29, 2019, with the remaining 263,328 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
Remarks
President and Chief Executive Officer