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RCKT

ROCKET PHARMACEUTICALS, INC.

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Tapewire entity
5627
SEC CIK
0001281895
Parsed reports
343

Last 12 months

Inside the activity.

1 purchase rows · 25 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202500
Jan 202610
Feb 202606
Mar 202600
Apr 202600
May 202608
Jun 202600
Jul 202600
Aug 202606
Sep 202601
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 20, 2017 Filed Jun 21, 2017 16:11 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016842 · doc4.xml · derivative · entry 1

BARBERICH TIMOTHY J · CIK 0001120355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:07 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016838 · doc4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:06 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016836 · doc4.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017 subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:06 UTC
HOWES PAUL GDirector
GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016837 · doc4.xml · derivative · entry 1

HOWES PAUL G · CIK 0001244754 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: The stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option grant shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:05 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016835 · doc4.xml · derivative · entry 1

CARROLL J MARTIN · CIK 0001279901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:05 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016834 · doc4.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 20:05 UTC GrantStock Options (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000899243-17-016833 · doc4.xml · derivative · entry 1

Spivey Richard N. · CIK 0001648385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-06-19

F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Read SEC document
January 23, 2017 Filed Jan 24, 2017 21:31 UTC
SOUTHWELL DAVID PDirector · President and CEO
GrantRestricted Stock Units · Derivative 350,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-001845 · doc4.xml · derivative · entry 2

SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F3 · derivative.exercise_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates.

F3 · derivative.expiration_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates.

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January 23, 2017 Filed Jan 24, 2017 21:31 UTC
SOUTHWELL DAVID PDirector · President and CEO
GrantRestricted Stock Units · Derivative 350,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-001845 · doc4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017.

Read SEC document
January 23, 2017 Filed Jan 24, 2017 21:31 UTC GrantRestricted Stock Units · Derivative 175,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-001844 · doc4.xml · derivative · entry 2

Baumgartner Rudolf A · CIK 0001632878 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F3 · derivative.exercise_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates.

F3 · derivative.expiration_date: The restricted stock units were issued pursuant to the Plan. The restricted stock units shall vest in equal annual installments over 4 years from the date of grant, subject to continued service through such dates.

Read SEC document
January 23, 2017 Filed Jan 24, 2017 21:31 UTC GrantRestricted Stock Units · Derivative 120,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-001844 · doc4.xml · derivative · entry 1

Baumgartner Rudolf A · CIK 0001632878 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan") on December 13, 2016 and were amended on January 23, 2017 to modify their vesting schedule. The restricted stock units were modified so that instead of vesting based on the achievement of certain milestones, they will vest in equal annual installments over four years from the December 13, 2016 date of grant, subject to continued service through such dates. The amount in this column does not reflect the decrease in fair value as a result of the modification to the restricted stock units in 2017.

Read SEC document
January 17, 2017 Filed Jan 19, 2017 21:31 UTC
RITTER DALEVice President, Finance
GrantRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-001543 · doc4.xml · derivative · entry 1

RITTER DALE · CIK 0001244154 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-16

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). The restricted stock units shall vest in equal 25% tranches every 6 months over a 2 year period from the date of grant, subject to continued service through such dates.

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January 17, 2017 Filed Sep 18, 2017 20:35 UTC
RITTER DALEVice President, Finance
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-053158 · doc4.xml · derivative · entry 2

RITTER DALE · CIK 0001244154 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.

F2 · derivative.exercise_date: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below.

F4 · derivative.exercise_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). The restricted stock units vest in equal 25% tranches every 6 months over a 2 year period from the date of grant, subject to continued service through such dates.

F2 · derivative.expiration_date: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below.

F4 · derivative.expiration_date: The restricted stock units were issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan (the "Plan"). The restricted stock units vest in equal 25% tranches every 6 months over a 2 year period from the date of grant, subject to continued service through such dates.

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January 06, 2017 Filed Jan 9, 2017 22:54 UTC
SOUTHWELL DAVID PDirector · President and CEO
PurchaseCommon Stock 60,000 $1.75 $105,000.00
Disclosure

SEC source: 0000899243-17-000861 · doc4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,765

F1 · acquired: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.749 to $1.75, inclusive. The reporting person undertakes to provide to Inotek Pharmaceuticals Corporation, any security holder of Inotek Pharmaceuticals Corporation, 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 footnote (1) to this Form 4.

F2 · balance_after: Includes 2,765 shares of the Issuer's common stock acquired under the Issuer's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I Information.

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January 04, 2017 Filed Jan 6, 2017 22:03 UTC OtherCommon Stock 9,857 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001008 · doc1.xml · nonDerivative · entry 2

DEVON PARK BIOVENTURES LP · CIK 0001356034 · 10% owner

Devon Park Associates, L.P. · CIK 0001610919 · 10% owner

Devon Park Associates, LLC · CIK 0001610920 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · kind: Devon Park Associates, L.P. conducted an in-kind, pro rata distribution to its limited partners of all shares of the Issuer's common stock owned by it.

F4 · ownership.nature: Represents the beneficial ownership of shares of the Issuer's common stock held directly by Devon Park Associates, L.P. Devon Park Associates, LLC is the general partner of Devon Park Associates, L.P.

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January 04, 2017 Filed Jan 6, 2017 22:03 UTC OtherCommon Stock 3,243,709 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-001008 · doc1.xml · nonDerivative · entry 1

DEVON PARK BIOVENTURES LP · CIK 0001356034 · 10% owner

Devon Park Associates, L.P. · CIK 0001610919 · 10% owner

Devon Park Associates, LLC · CIK 0001610920 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,857

F1 · kind: Devon Park Bioventures, L.P. conducted an in-kind, pro rata distribution to its limited partners of all shares of the Issuer's common stock owned by it.

F2 · ownership.nature: Represents the beneficial ownership of shares of the Issuer's common stock held directly by Devon Park Bioventures, L.P. Devon Park Associates, LLC is the general partner of Devon Park Associates, L.P., which is the general partner of Devon Park Bioventures, L.P.

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September 28, 2016 Filed Sep 29, 2016 07:46 UTC GrantStock Options (Right to Buy) · Derivative 24,000 $0.00 Strike: $9.49 $0.00
Disclosure

SEC source: 0000899243-16-030296 · doc4.xml · derivative · entry 1

BARBERICH TIMOTHY J · CIK 0001120355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2026-09-28

F1 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2014 Stock Option and Incentive Plan and shall vest as follows: 25% of the shares shall be vested on September 28, 2017 and 1/36th of the remaining shares shall vest on each monthly anniversary thereafter, subject to Reporting Person's continued service as a director of the Issuer.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.