0001140361-24-020127.txt : 20240416
0001140361-24-020127.hdr.sgml : 20240416
20240416174527
ACCESSION NUMBER: 0001140361-24-020127
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240412
FILED AS OF DATE: 20240416
DATE AS OF CHANGE: 20240416
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOUTHWELL DAVID P
CENTRAL INDEX KEY: 0001251553
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 24848881
MAIL ADDRESS:
STREET 1: C/O INOTEK PHARMACEUTICALS CORPORATION
STREET 2: 91 HARTWELL AVENUE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0001281895
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 350 FIFTH AVENUE
STREET 2: SUITE 7530
CITY: NEW YORK
STATE: NY
ZIP: 10118
BUSINESS PHONE: 646-440-9100
MAIL ADDRESS:
STREET 1: 350 FIFTH AVENUE
STREET 2: SUITE 7530
CITY: NEW YORK
STATE: NY
ZIP: 10118
FORMER COMPANY:
FORMER CONFORMED NAME: INOTEK PHARMACEUTICALS CORP
DATE OF NAME CHANGE: 20040226
4
1
form4.xml
FORM 4
X0508
4
2024-04-12
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001251553
SOUTHWELL DAVID P
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
CRANBURY
NJ
08512
true
false
Common Stock
2024-04-12
4
M
0
70000
4.342
A
165160
D
Common Stock
2024-04-12
4
S
0
59716
24.224
D
105444
D
Common Stock
2024-04-12
4
S
0
10284
25.156
D
95160
D
Common Stock
2024-04-15
4
M
0
29624
4.342
A
124784
D
Common Stock
2024-04-15
4
S
0
10000
24.052
D
114784
D
Stock Option (Right to Buy)
4.342
2024-04-12
4
M
0
70000
4.342
D
2024-08-28
Common Stock
70000
29624
D
Stock Option (Right to Buy)
4.342
2024-04-15
4
M
0
29624
4.342
D
2024-08-28
Common Stock
29624
0
D
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.
/s/ Martin Wilson, as attorney-in-fact for David Southwell
2024-04-16