SEC Form 4 · accession 0001140361-19-004456
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
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 7:23 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 StockF1 | Mar 1, 2019 | S | 25,000 | $17.34 | D | 736,850 | D | |
| Common StockF2 | Mar 4, 2019 | S | 24,900 | $17.28 | D | 711,950 | D | |
| Common StockF3 | Mar 5, 2019 | S | 25,000 | $16.90 | D | 686,950 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $17.01 to $17.56. 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.
- F2This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.76 to $17.71. 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.
- F3This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.43 to $17.73. 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.
Remarks
President and Chief Executive Officer