Form4insider filings, from the source

SEC Form 4 · accession 0001209191-15-018753

ROCKET PHARMACEUTICALS, INC. · RCKT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
Joshua Ruch
10% Owner
Habib Kairouz
10% Owner
Mark Leschly
10% Owner
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 6:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001281895

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1,F2Feb 23, 2015C1,606,230—A1,839,266ISee Footnotes
Common StockF3,F2Feb 23, 2015C73,092—A1,912,358ISee Footnotes
Common StockF2,F4Feb 23, 2015P958,226$6.00A2,870,584ISee Footnotes

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Series AA Convertible Preferred StockF1,F2—Feb 23, 2015C5,128,577D——Common Stock1,606,2300I
Convertible Promissory NotesF3,F2—Feb 23, 2015C432,591D——Common Stock73,0920I

Explanation of responses