SEC Form 4 · accession 0001140361-18-044847
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kinnari Patel
Officer — Chief Operating Officer
Period of report
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 5:01 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 Stock | Dec 6, 2018 | P | 5,675 | $14.98 | A | 5,675 | I | By spouse |
| Common StockF1 | holding | — | — | — | 94,927 | I | By Adaptive Technology, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
Remarks
Exhibit 24 - Power of Attorney