Schwartz Jonathan David 的 Form 4/A 修正申報
修正Rocket Pharmaceuticals, Inc.（RCKT），2022/4/4 申報
- 申報編號
- 0001140361-22-012779
- 申報時間
- 2022/4/4
- 交易日
- 2022/3/30-4/1
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/4/1
這份申報列了 6 筆非衍生性交易。公開市場賣出合計 $218.8 萬。交易後 5 天申報。
這份修正申報取代了 0001140361-22-012640（2022/4/1 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Schwartz Jonathan DavidCIK 0001726398 | 高階主管（見申報備註） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/3/30 | Common Stock | S賣出處分 | −10,562 | $15.94F3 | −$168,358.28 | 213,967 | 直接 | |
| 2022/3/30 | Common Stock | S賣出處分 | −34,438 | $16.56F4 | −$570,293.28 | 179,529 | 直接 | |
| 2022/3/31 | Common Stock | S賣出處分 | −9,002 | $15.90F5 | −$143,131.8 | 170,527 | 直接 | |
| 2022/3/31 | Common Stock | S賣出處分 | −35,998 | $16.15F6 | −$581,367.7 | 134,529 | 直接 | |
| 2022/4/1 | Common Stock | S賣出處分 | −12,974 | $15.86F7 | −$205,767.64 | 121,555 | 直接 | |
| 2022/4/1 | Common Stock | S賣出處分 | −32,026 | $16.20F8 | −$518,821.2 | 89,529 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."
- F2
The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.
表 I 有 1 筆交易的價格引用這則附註。
備註
Chief Medical Officer & Clinical Development, SVP.