SEC Form 4 · accession 0001209191-17-053158
ROCKET PHARMACEUTICALS, INC. · RCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale Ritter
Officer — Vice President, Finance
Period of report
Sep 14, 2017
Accepted (ET)
Sep 18, 2017 · 4:35 pm EDT
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,F2 | Sep 14, 2017 | M | 12,500 | $0.00 | A | 19,827 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F2,F4 | — | Jan 17, 2017 | M | 12,500 | D | — | — | Common Stock | 12,500 | 37,500 | D |
Explanation of responses
- F1Includes 7,327 shares of ITEK's common stock acquired under ITEK's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I information. Of these 7,237 shares of ITEK's common stock, 2,591 shares were acquired on November 30, 2015 at the price of $4.83, 782 shares were acquired on May 31, 2016 at the price of $7.82, 1,765 shares were acquired on November 30, 2016 at the price of $5.44 and 2,189 shares were acquired on May 31, 2017 at the price of $1.45.
- F2On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below.
- F3Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.
- F4The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). The restricted stock units vest in equal 25% tranches every 6 months over a 2 year period from the date of grant, subject to continued service through such dates.