SEC Form 4 · accession 0001179110-15-015092
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 16, 2015
Accepted (ET)
Nov 18, 2015 · 6:02 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 StockF2 | Nov 16, 2015 | J | 115,083 | $0.00 | D | 636,496 | D | |
| Common StockF4 | Nov 16, 2015 | J | 127,711 | $0.00 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 16, 2015, Rho Ventures IV Holdings LLC ("RV IV Holdings") distributed, for no consideration, 115,083 shares of Common Stock of the Issuer to one or more of its members. The distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F2Shares are held by RV IV Holdings
- F3On November 16, 2015, Rho Ventures IV-A, L.P. ("RV IV-A") distributed, for no consideration, 127,711 shares of Common Stock of the Issuer to one or more of its partners. The distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F4RV IV-A no longer holds any shares of the Issuer.