SEC Form 4 · accession 0001140361-18-045651
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 20, 2018
Accepted (ET)
Dec 21, 2018 · 5:00 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 20, 2018 | M | 55,869 | $1.21 | A | 55,869 | D | |
| Common Stock | holding | — | — | — | 5,675 | I | By spouse | |
| Common StockF1 | holding | — | — | — | 94,927 | I | By Adaptive Technology, LLC |
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)F2 | $1.21 | Dec 20, 2018 | M | 55,869 | A | — | Apr 18, 2026 | Common Stock | 55,869 | 111,738 | D |
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.
- F2This option represents a right to purchase a total of 167,607 shares of the Issuer's Common Stock 56,072 of which became fully vested and exercisable on April 18, 2017, with the remaining 111,535 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.