Form4insider filings, from the source

SEC Form 4 · accession 0001209191-15-018755

ROCKET PHARMACEUTICALS, INC. · RCKT

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

Reporting owners
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 6:16 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,F2,F3Feb 23, 2015C1,394,645—A1,609,747ISee Footnotes
Common StockF4,F3Feb 23, 2015C63,560—A1,673,307ISee Footnotes
Common StockF3,F5Feb 23, 2015P603,832$6.00A2,277,139ISee Footnotes

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Series AA Convertible Preferred StockF1,F2,F3—Feb 23, 2015C4,459,658D——Common Stock1,394,6450I
Convertible Promissory NotesF4,F3—Feb 23, 2015C—D——Common Stock63,5600I

Explanation of responses