Militello John's Form 4/A amendment
AmendedRocket Pharmaceuticals, Inc. (RCKT) · filed Oct 20, 2023
- Accession no.
- 0001140361-23-049079
- Filed
- Oct 20, 2023
- Trade date
- Feb 17-Oct 18, 2023
- Filing delay
- 245 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Feb 22, 2023
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $20.5K. It was filed 245 days after the trade.
This amendment replaces 0001140361-23-008103 (filed Feb 22, 2023).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Militello JohnCIK 0001662170 | Officer (See Remarks) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Common Stock | SSaleDisposed | −1,076 | $19.06F3 | −$20,508.56 | 1,782 | Direct | |
| Oct 18, 2023 | Common Stock | MOption exerciseAcquired | +1,586 | $0.00 | $0 | 9,324 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 18, 2023 | Common Stock | MOption exerciseDisposed | −1,586 | $0.00 | $0 | 9,518 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This Form 4 corrects an error on the original Form 4 filed on February 22, 2023. The original Form 4 stated that the Reporting Person sold 1,244 shares of the Issuer's common stock to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The Reporting Person sold 1,076 shares of the Issuer's common stock on February 17, 2023 to cover tax withholding obligations in connection with the vesting of RSUs.
- F2
The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4.
- F3
This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. 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.
Referenced by the price of 1 transaction in Table I.
- F4
Represents shares of Common Stock received upon vesting of an RSU award.
- F5
Each RSU represents a contingent right to receive one share of the Issuer's common stock.
- F6
One-third (1/3) of such RSUs became fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.
Remarks
VP, Principal Accounting Officer and Interim Principal Financial Officer