Jonathan Schwartz - Feb 14, 2023 Form 4/A - Amendment Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Chief Medical Officer & Clinical Development, SVP
Signature
/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz
Stock symbol
RCKT
Transactions as of
Feb 14, 2023
Transactions value $
$0
Form type
4/A - Amendment
Date filed
2/22/2023, 06:25 PM
Date Of Original Report
Feb 16, 2023
Previous filing
Sep 15, 2022
Next filing
Feb 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +8.57K +9.58% $0.00 98.1K Feb 14, 2023 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RCKT Stock Option (Right to Buy) Award $0 +124K $0.00 124K Feb 14, 2023 Common Stock 124K $20.04 Direct F3
transaction RCKT Restricted Stock Units Award $0 +41.5K $0.00 41.5K Feb 14, 2023 Common Stock 41.5K Direct F4, F5
transaction RCKT Restricted Stock Units Options Exercise $0 +8.57K +97.03% $0.00 17.4K Feb 14, 2023 Common Stock 8.57K Direct F1, F4, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023.
F2 Represents shares of Common Stock received upon vesting of a restricted stock unit award.
F3 This option represents a right to purchase a total of 124,496 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F4 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F5 One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.
F6 One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Remarks:

Chief Medical Officer & Clinical Development, SVP