SEC Form 4 · accession 0001140361-17-001008
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
DEVON PARK BIOVENTURES LP
10% Owner
Devon Park Associates, L.P.
10% Owner
Devon Park Associates, LLC
10% Owner
Period of report
Jan 4, 2017
Accepted (ET)
Jan 6, 2017 · 5:03 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 StockF2 | Jan 4, 2017 | J | 3,243,709 | $0.00 | D | 9,857 | I | See Footnote |
| Common StockF4 | Jan 4, 2017 | J | 9,857 | $0.00 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Devon Park Bioventures, L.P. conducted an in-kind, pro rata distribution to its limited partners of all shares of the Issuer's common stock owned by it.
- F2Represents the beneficial ownership of shares of the Issuer's common stock held directly by Devon Park Bioventures, L.P. Devon Park Associates, LLC is the general partner of Devon Park Associates, L.P., which is the general partner of Devon Park Bioventures, L.P.
- F3Devon Park Associates, L.P. conducted an in-kind, pro rata distribution to its limited partners of all shares of the Issuer's common stock owned by it.
- F4Represents the beneficial ownership of shares of the Issuer's common stock held directly by Devon Park Associates, L.P. Devon Park Associates, LLC is the general partner of Devon Park Associates, L.P.