SEC Form 4 · accession 0001140361-18-044850
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Southwell
Director
Period of report
Nov 28, 2018
Accepted (ET)
Dec 10, 2018 · 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 StockF1 | Nov 28, 2018 | M | 153,125 | — | A | 191,660 | D | |
| Common StockF3 | Dec 6, 2018 | S | 52,809 | $15.15 | D | 138,851 | D | |
| Common StockF4 | Dec 7, 2018 | S | 4,923 | $14.91 | D | 133,928 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Nov 28, 2018 | M | 65,625 | D | — | — | Common Stock | 153,125 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.
- F2The reported sales were made for the sole purpose of fulfilling the reporting person's tax obligations in connection with the settlement of restricted stock units.
- F3This transaction was executed in multiple trades at prices ranging from $14.91 to $15.65. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $14.75 to $15.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units became fully vested on January 4, 2018.
Remarks
Exhibit 24 - Power of Attorney