Makker Gotham's Form 4/A amendment
AmendedRocket Pharmaceuticals, Inc. (RCKT) · filed Jun 10, 2024
- Accession no.
- 0001140361-24-029438
- Filed
- Jun 10, 2024
- Trade date
- Mar 21, 2024
- Filing delay
- 81 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 25, 2024
This filing lists 1 non-derivative transaction. Open-market sales total $7.79M. It was filed 81 days after the trade.
This amendment replaces 0001140361-24-015103 (filed Mar 25, 2024).
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 |
|---|---|
| Makker GothamCIK 0001726391 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 21, 2024 | Common Stock | SSaleDisposed | −274,000 | $28.43 | −$7,789,820 | 365,912 | Indirect |
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
The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.
- F2
This Form 4 corrects an error on the original Form 4 filed on March 25, 2024, which omitted shares of the issuer's common stock held by a non-revocable trust for the benefit of the reporting person's children that should have been included on the original Form 4.
- F3
The securities may be deemed to be beneficially owned by the reporting person and are held by a non-revocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust.