Militello John 的 Form 4/A 修正申報
修正Rocket Pharmaceuticals, Inc.（RCKT），2023/10/20 申報
- 申報編號
- 0001140361-23-049079
- 申報時間
- 2023/10/20
- 交易日
- 2023/2/17-10/18
- 申報延遲
- 245 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/2/22
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $2.05 萬。交易後 245 天申報。
這份修正申報取代了 0001140361-23-008103（2023/2/22 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 |
|---|---|
| Militello JohnCIK 0001662170 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/2/17 | Common Stock | S賣出處分 | −1,076 | $19.06F3 | −$20,508.56 | 1,782 | 直接 | |
| 2023/10/18 | Common Stock | M行使選擇權取得 | +1,586 | $0.00 | $0 | 9,324 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/10/18 | Common Stock | M行使選擇權處分 | −1,586 | $0.00 | $0 | 9,518 | 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 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
備註
VP, Principal Accounting Officer and Interim Principal Financial Officer