RCKT

SEC source: 0001140361-25-004296 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,345

Underlying: Common Stock · 243,345 shares

Expires 2035-02-11

F2 · derivative.exercise_date: This option represents a right to purchase a total of 243,345 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-25-004296 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 788,983

F1 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-25-003241 · form4.xml · derivative · entry 2

Pratumsuwan Piratip · CIK 0002055179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,443

Underlying: Common Stock · 22,443 shares

Expires 2035-02-03

F2 · derivative.exercise_date: This option represents a right to purchase a total of 22,443 shares of the Issuer's common stock, which will fully vest on February 3, 2026.

SEC source: 0001140361-25-003241 · form4.xml · derivative · entry 1

Pratumsuwan Piratip · CIK 0002055179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,181

Underlying: Common Stock · 51,181 shares

Expires 2035-02-03

F1 · derivative.exercise_date: This option represents a right to purchase a total of 51,181 shares of Rocket Pharmaceutical, Inc. (the "Issuer")'s common stock, which will vest in equal monthly installments over a three-year period, such that all of the shares underlying this option will be fully vested on February 3, 2028.

SEC source: 0001140361-25-002069 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,414

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001062993-24-020690 · form4.xml · derivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner · See remarks

WONG RODERICK · CIK 0001493280 · Director · 10% owner · See remarks

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,526,955

Underlying: Common Stock · 400,000 shares

Expires not disclosed

F1 · shares: The Pre-Funded Warrant was purchased from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after December 12, 2024, exercise the Pre-Funded Warrant until exercised in full. The Pre-Funded Warrant reported herein contains an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrant until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrant beneficially owned by the Reporting Persons is not presently exercisable.

F2 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after December 12, 2024, exercise the Pre-Funded Warrant until exercised in full. The Pre-Funded Warrant reported herein contains an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrant until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrant beneficially owned by the Reporting Persons is not presently exercisable.

F3 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to the securities held by certain investment funds managed by the Adviser (the "RTW Funds") and (ii) Roderick Wong, M.D. ("Dr. Wong"), who serves as the Managing Partner and Chief Investment Officer of the Adviser and who is a director of the Issuer and Chairman of the Issuer's Board of Directors.

SEC source: 0001140361-24-047757 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,310

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-047756 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 392,395

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-047755 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 707,328

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-047754 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,560

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 3

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,852

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-045099 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,534

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-045101 · form4.xml · nonDerivative · entry 1

White Mark Andrew · CIK 0001973240 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,140

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-044548 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 607

Underlying: Common Stock · 607 shares

Expires 2034-09-26

F1 · derivative.exercise_date: This option represents a right to purchase a total of 607 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on September 26, 2025.

SEC source: 0001140361-24-044546 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303

Underlying: Common Stock · 303 shares

Expires 2034-09-26

F2 · derivative.exercise_date: This option represents a right to purchase a total of 303 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on September 26, 2025.

SEC source: 0001140361-24-044546 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204

Underlying: Common Stock · 204 shares

Expires 2034-09-26

F1 · derivative.exercise_date: This option represents a right to purchase a total of 204 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on September 26, 2025.

SEC source: 0001140361-24-040838 · form4.xml · derivative · entry 2

Dolsten Mikael · CIK 0001437590 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,988

Underlying: Common Stock · 22,988 shares

Expires 2034-09-09

F2 · derivative.exercise_date: This option represents a right to purchase a total of 22,988 shares of the Issuer's common stock, which will fully vest on September 9, 2025.

SEC source: 0001140361-24-040838 · form4.xml · derivative · entry 1

Dolsten Mikael · CIK 0001437590 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,545

Underlying: Common Stock · 27,545 shares

Expires 2034-09-09

F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,545 shares of the Issuer's common stock, which will vest in equal monthly installments over a three-year period, such that all of the shares underlying this option will be fully vested on September 9, 2027.

SEC source: 0001140361-24-037934 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,451

F1 · security: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-037933 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 396,983

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-037932 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 718,419

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-037931 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,735

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,949

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-034029 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,515

F1 · security: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-032761 · form4.xml · nonDerivative · entry 1

White Mark Andrew · CIK 0001973240 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,220

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. RSUs vest one-third (1/3) upon the first anniversary of the grant date, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-030731 · form4.xml · derivative · entry 2

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,325

Underlying: Common Stock · 3,325 shares

Expires 2034-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,325 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000.

SEC source: 0001140361-24-030731 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030725 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,660

Underlying: Common Stock · 2,660 shares

Expires 2034-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 2,660 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. This option was issued to the Reporting Person in lieu of director retainer fees of $40,000.

SEC source: 0001140361-24-030725 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030729 · form4.xml · derivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,325

Underlying: Common Stock · 3,325 shares

Expires 2034-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,325 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. This option was issued to the Reporting Person in lieu of director retainer fees of $50,000.

SEC source: 0001140361-24-030729 · form4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030728 · form4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030727 · form4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030730 · form4.xml · derivative · entry 1

Woods Keith · CIK 0001996804 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030726 · form4.xml · derivative · entry 1

Malik Fady Ibraham · CIK 0001551778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030724 · form4.xml · derivative · entry 2

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,655

Underlying: Common Stock · 4,655 shares

Expires 2034-06-13

F2 · derivative.exercise_date: This option represents a right to purchase a total of 4,655 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025. This option was issued to the Reporting Person in lieu of director retainer fees of $70,000.

SEC source: 0001140361-24-030724 · form4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-24-030723 · form4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,944

Underlying: Common Stock · 23,944 shares

Expires 2034-06-13

F1 · derivative.exercise_date: . This option represents a right to purchase a total of 23,944 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 13, 2025.

SEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,659

F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-026881 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,327

F1 · security: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

F1 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 728,069

F4 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-026873 · form4.xml · nonDerivative · entry 4

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,762

F4 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 6

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,972

F5 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001140361-24-026878 · form4.xml · derivative · entry 9

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,785

Underlying: Common Stock · 9,683 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.

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026878 · form4.xml · derivative · entry 8

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,940

Underlying: Common Stock · 7,979 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.

F1 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 646,134

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.

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 636,451

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.

F1 · security: Represents RSUs initially granted on February 14, 2022. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026873 · form4.xml · derivative · entry 5

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,947

Underlying: Common Stock · 2,420 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.

F1 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026873 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,100

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.

F1 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 10

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,735

Underlying: Common Stock · 5,533 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.

F2 · security: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.

F2 · derivative.expiration_date: Represents RSUs initially granted on February 14, 2023. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years.