Filing Details
- Accession Number:
- 0001140361-24-026878
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-05-20 16:33:07
- Reporting Period:
- 2024-05-14
- Accepted Time:
- 2024-05-20 16:33:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1725922 | Gaurav Shah | C/O Rocket Pharmaceuticals, Inc. 9 Cedarbrook Drive Cranbury NJ 08512 | Ceo | 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 | Acquisiton | 2024-05-14 | 7,979 | $0.00 | 636,451 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2024-05-14 | 9,683 | $0.00 | 646,134 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-02-14 | 23,940 | $0.00 | 670,074 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2023-02-14 | 67,785 | $0.00 | 737,859 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2024-05-16 | 9,790 | $23.35 | 728,069 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | J | Direct | |
| No | 4 | J | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2024-05-14 | 7,979 | $0.00 | 7,979 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2024-05-14 | 9,683 | $0.00 | 9,683 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2022-02-14 | 23,940 | $0.00 | 28,763 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2023-02-14 | 67,785 | $0.00 | 16,947 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,940 | No | 4 | M | Direct | ||
| 67,785 | No | 4 | M | Direct | ||
| 0 | No | 4 | J | Direct | ||
| 0 | No | 4 | J | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 207,897 | Indirect | By Spouse |
| Common Stock | 198,341 | Indirect | By Gaurav D. Shah Irrevocable Trust |
Footnotes
- Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.
- Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.
- Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs.
- The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.
- Each RSU represents a contingent right to receive one share of the Issuer's common stock.
Billionaire Hedge Funds
