SEC Form 4 · accession 0001140361-18-045226
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P Southwell
Director
Period of report
Dec 13, 2018
Accepted (ET)
Dec 14, 2018 · 9:06 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 | Dec 13, 2018 | S | 38,768 | $15.19 | D | 95,160 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2This transaction was executed in multiple trades at prices ranging from $15.00 to $15.80. 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.