SEC Form 4 · accession 0001140361-19-002003
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roderick Wong
Director · 10% Owner
Period of report
Jan 28, 2019
Accepted (ET)
Jan 30, 2019 · 6:32 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 | 40,500 | A | — | Jan 28, 2029 | Common Stock | 40,500 | 40,500 | D |
Explanation of responses
- F1. This option represents a right to purchase a total of 40,500 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.