SEC Form 4 · accession 0001140361-18-030373
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Militello
Officer — See Remarks
Period of report
Jun 25, 2018
Accepted (ET)
Jun 28, 2018 · 2:21 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 | $20.61 | Jun 25, 2018 | A | 10,000 | A | — | Jun 25, 2028 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, 3,336 of which will become fully vested and exercisable on June 25, 2019, with the remaining 6,664 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
Remarks
Title: Controller, Principal Financial Officer and Principal Accounting Officer // Exhibit List - Exhibit 24 - Powers of Attorney