SEC Form 4 · accession 0001140361-19-002009
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gotham Makker
Director
Period of report
Jan 28, 2019
Accepted (ET)
Jan 30, 2019 · 6:35 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 | 30,000 | A | — | Jan 28, 2029 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F2 | $14.56 | Jan 28, 2019 | A | 4,666 | A | — | Jan 28, 2029 | Common Stock | 4,666 | 4,666 | D |
Explanation of responses
- F1This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020.
- F2This option represents a right to purchase a total of 4,666 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on January 28, 2020. This option was issued to the Reporting Person in lieu of director retainer fees of $46,500.
Remarks
Exhibit 24 - Power of Attorney