SEC Form 4 · accession 0000899243-18-009127
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Southwell
Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 8:18 pm EDT
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 | Apr 2, 2018 | M | 21,875 | — | A | 38,535 | D |
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)F2 | $18.75 | Mar 29, 2018 | A | 40,000 | A | — | Mar 29, 2028 | Common Stock | 40,000 | 40,000 | D |
| Restricted Stock UnitsF1,F2,F3 | — | Apr 2, 2018 | M | 21,875 | A | — | — | Common Stock | 21,875 | 65,625 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of RCKT common stock.
- F2This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 13,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 26,664 shares vesting in equal monthly installments over the following two years.
- F3The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units vest in equal annual installments over 4 years from the January 23, 2017 date of grant, subject to continued service through such dates.
Remarks
Exhibit 24 - Power of Attorney