Filing Details
- Accession Number:
- 0001140361-20-029917
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-30 16:50:30
- Reporting Period:
- 2020-12-28
- Accepted Time:
- 2020-12-30 16:50:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1281895 | Rocket Pharmaceuticals Inc. | RCKT | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1725929 | Kinnari Patel | C/O Rocket Pharmaceuticals, Inc. 9 Cedarbrook Drive Cranbury NJ 08512 | Chief Operating Officer | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-12-28 | 11,334 | $56.51 | 100,404 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-28 | 5,427 | $57.17 | 94,977 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,675 | Indirect | By Spouse |
| Common Stock | 94,927 | Indirect | By Adaptive Technology LLC |
Footnotes
- This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $55.90 to $56.86. 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.
- This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $56.903 to $57.49. 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.
- The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
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