Shah Gaurav's Form 4 filing
Rocket Pharmaceuticals, Inc. (RCKT) · filed Feb 21, 2024
- Accession no.
- 0001140361-24-008886
- Filed
- Feb 21, 2024
- Trade date
- Feb 16, 2024
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $604.9K. It was filed 5 days after the trade.
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 |
|---|---|
| Shah GauravCIK 0001725922 | Director, Officer (CEO) |
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 16, 2024 | Common Stock | SSaleDisposed | −20,272 | $29.84 | −$604,916.48 | 554,762 | Direct | |
| Feb 16, 2024 | Common Stock | AGrant or awardAcquired | +66,577 | $0.00 | $0 | 621,339 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2024 | Common Stock | AGrant or awardAcquired | +196,336 | $0.00 | $0 | 196,336 | 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.
No transaction price on this filing refers to a footnote.