SEC Form 4 · accession 0001140361-19-002001
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gaurav Shah
Officer — See Remarks · Director
Period of report
Jan 28, 2019
Accepted (ET)
Jan 30, 2019 · 6:29 pm EST
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 | $14.56 | Jan 28, 2019 | A | 315,700 | A | — | Jan 28, 2029 | Common Stock | 315,700 | 315,700 | D |
Explanation of responses
- F1This option represents a right to purchase a total of 315,700 shares of the Issuer's Common Stock, 105,236 of which will become fully vested and exercisable on January 28, 2020, with the remaining 210,464 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.
Remarks
President and Chief Executive Officer Exhibit 24 - Power of Attorney