0001140361-21-011312.txt : 20210401
0001140361-21-011312.hdr.sgml : 20210401
20210401210838
ACCESSION NUMBER: 0001140361-21-011312
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210330
FILED AS OF DATE: 20210401
DATE AS OF CHANGE: 20210401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shah Gaurav
CENTRAL INDEX KEY: 0001725922
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 21800328
MAIL ADDRESS:
STREET 1: 430 EAST 29TH STREET
STREET 2: SUITE 1040
CITY: NEW YORK
STATE: NY
ZIP: 10016
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0001281895
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
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
X0306
4
2021-03-30
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001725922
Shah Gaurav
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
CRANBURY
NJ
08512
true
true
CEO
Common Stock
2021-03-30
4
F
0
19984
41.7999
D
614092
D
Common Stock
2021-03-30
4
F
0
8667
42.7952
D
594108
D
Common Stock
2021-03-30
4
F
0
48732
43.8552
D
545376
D
Common Stock
2021-03-30
4
F
0
8505
44.3392
D
536871
D
Common Stock
2021-03-31
4
M
0
75880
1.69
A
612751
D
Common Stock
2021-03-31
4
F
0
3000
45.59
D
609751
D
Common Stock
2021-03-31
4
F
0
61350
44.2432
D
548401
D
Common Stock
2021-03-31
4
F
0
23003
45.0618
D
525398
D
Common Stock
207897
I
By Spouse
Common Stock
198341
I
By Gaurav D. Shah Irrevocable Trust
Stock Option (Right to Buy)
1.69
2021-03-31
4
M
0
75880
0
D
2027-04-12
Common Stock
75880
0
D
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
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.
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.
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.
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.
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
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.
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.
This option is fully vested and exercisable.
/s/ Sara Turken, as attorney-in-fact for Gaurav Shah
2021-04-01