Patel Kinnari's Form 4 filing
Rocket Pharmaceuticals, Inc. (RCKT) · filed May 20, 2024
- Accession no.
- 0001140361-24-026871
- Filed
- May 20, 2024
- Trade date
- Feb 14, 2022-May 16, 2024
- Filing delay
- 826 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $94.5K. It was filed 826 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Patel KinnariCIK 0001725929 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 14, 2024 | Common Stock | MOption exerciseAcquired | +3,990 | $0.00 | $0 | 296,291 | Direct | |
| May 14, 2024 | Common Stock | MOption exerciseAcquired | +5,553 | $0.00 | $0 | 301,824 | Direct | |
| Feb 14, 2022 | Common Stock | JOtherAcquired | +11,970 | $0.00 | $0 | 313,794 | Direct | |
| Aug 12, 2022 | Common Stock | JOtherAcquired | +52,489 | $0.00 | $0 | 366,283 | Direct | |
| Feb 14, 2023 | Common Stock | JOtherAcquired | +38,735 | $0.00 | $0 | 405,018 | Direct | |
| May 16, 2024 | Common Stock | SSaleDisposed | −4,046 | $23.35 | −$94,474.1 | 400,972 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 14, 2024 | Common Stock | MOption exerciseDisposed | −3,990 | $0.00 | $0 | 11,970 | Direct | |
| May 14, 2024 | Common Stock | MOption exerciseDisposed | −5,533 | $0.00 | $0 | 38,735 | Direct | |
| Feb 14, 2022 | Common Stock | JOtherDisposed | −11,970 | $0.00 | $0 | 0 | Direct | |
| Aug 12, 2022 | Common Stock | JOtherDisposed | −52,489 | $0.00 | $0 | 0 | Direct | |
| Feb 14, 2023 | Common Stock | JOtherDisposed | −38,735 | $0.00 | $0 | 0 | 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.
Remarks
President, Head of R&D and Chief Operating Officer