Filing Details
- Accession Number:
- 0001140361-24-020127
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-04-16 17:45:27
- Reporting Period:
- 2024-04-12
- Accepted Time:
- 2024-04-16 17:45:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1281895 | Rocket Pharmaceuticals Inc. | RCKT | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1251553 | P David Southwell | C/O Rocket Pharmaceuticals, Inc. 9 Cedarbrook Drive Cranbury NJ 08512 | 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 | 2024-04-12 | 70,000 | $4.34 | 165,160 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-04-12 | 59,716 | $24.22 | 105,444 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2024-04-12 | 10,284 | $25.16 | 95,160 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2024-04-15 | 29,624 | $4.34 | 124,784 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-04-15 | 10,000 | $24.05 | 114,784 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-04-12 | 70,000 | $4.34 | 70,000 | $4.34 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-04-15 | 29,624 | $4.34 | 29,624 | $4.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 29,624 | 2024-08-28 | No | 4 | M | Direct | |
| 0 | 2024-08-28 | No | 4 | M | Direct |
Footnotes
- Represents shares received upon exercise of Stock Options, which would otherwise expire in August 2024.
- Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- Shares were sold by the Reporting Person in order to cover certain tax obligations.
- Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018.
Billionaire Hedge Funds
