Form Type: 4

SEC EDGAR Link
Accession Number:0001140361-21-011312
Date:2021-03-30
Issuer: ROCKET PHARMACEUTICALS, INC. (RCKT)
Original Submission Date:

Reporting Person:

SHAH GAURAV
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE CRANBURY, NJ 08512

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-30 F 19,984 d $41.80 614,092 direct
COMMON STOCK 2021-03-30 F 8,667 d $42.80 594,108 direct
COMMON STOCK 2021-03-30 F 48,732 d $43.86 545,376 direct
COMMON STOCK 2021-03-30 F 8,505 d $44.34 536,871 direct
COMMON STOCK 2021-03-31 M 75,880 a $1.69 612,751 direct
COMMON STOCK 2021-03-31 F 3,000 d $45.59 609,751 direct
COMMON STOCK 2021-03-31 F 61,350 d $44.24 548,401 direct
COMMON STOCK 2021-03-31 F 23,003 d $45.06 525,398 direct
COMMON STOCK 2021-03-30 0 $0.00 207,897 indirect
COMMON STOCK 2021-03-30 0 $0.00 198,341 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 1.69 2021-03-31 deemed execution date M 75,880 (d) 2027-04-12 common stock 75,880 $1.69 0 direct
Footnotes
IDfootnote
f1 the sales reported on this form 4 represent shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units (rsus) received by the reporting person. these sales are made pursuant to an existing 10b5-1 plan entered into in april 2020 under which the reporting person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the reporting person. the shares reported herein represent less than 10% of the reporting person's holdings
f2 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $41.165 to $42.15. 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.
f3 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $42.245 to $43.23. 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.
f4 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $43.24 to $44.23. 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.
f5 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $44.24 to $44.56. 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.
f6 exempt transaction pursuant to section 16b-3(e) - payment of exercise price and the tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with rule 16b-3. these shares were relinquished by the reporting person and cancelled by the issuer to cover the exercise price of the options and the tax liability
f7 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $43.67 to $44.66. 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.
f8 this transaction was executed pursuant to a rule 10b5-1 trading plan in multiple trades at prices ranging from $44.67 to $45.66. 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.
f9 this option is fully vested and exercisable.
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