SEC Form 4 · accession 0001104659-15-048100
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
CARE CAPITAL II LLC
10% Owner
CARE CAPITAL INVESTMENTS II LP
10% Owner
Care Capital Investments III L.P.
10% Owner
Care Capital III LLC
10% Owner
Period of report
Jun 24, 2015
Accepted (ET)
Jun 26, 2015 · 5:46 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 Options (Right to Buy)F2,F1 | $5.03 | Jun 24, 2015 | A | 12,000 | A | — | Jun 23, 2025 | Common Stock | 12,000 | 21,857 | I |
Explanation of responses
- F1The stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option grant shall vest in equal quarterly installments at the end of each quarter following June 24, 2015, subject to continued service through such dates.
- F2Argeris N. Karabelas is a member of Care Capital II, LLC and Care Capital III, LLC (the "General Partners"). Under the partnership agreements for each of General Partners, Argeris N. Karabelas is deemed to hold the reported option for the benefit of the General Partners, and must exercise the option solely upon the direction of the General Partners, which are entitled to the shares issued upon exercise. The General Partners may be deemed the indirect beneficial owner of the option, and Argeris N. Karabelas may be deemed the indirect beneficial owner of the option through his indirect interest in the General Partners. Argeris N. Karabelas disclaims beneficial ownership of the option except to the extent of his pecuniary interest therein.
Remarks
Exhibit List