Tapewire

Nasdaq · USD

RCKT

ROCKET PHARMACEUTICALS, INC.

Export transactions ↓
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

JSON API
Reset

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
May 14, 2024 Filed May 20, 2024 20:26 UTC
Patel KinnariSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · derivative · entry 9

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,970

Underlying: Common Stock · 3,990 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.

F7 · 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.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC
Patel KinnariSee Remarks
Exercise / conversionCommon Stock 5,553 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,824

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.

Read SEC document
May 14, 2024 Filed May 20, 2024 20:26 UTC
Patel KinnariSee Remarks
Exercise / conversionCommon Stock 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026871 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,291

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.

Read SEC document
May 02, 2024 Filed May 20, 2024 20:39 UTC GiftCommon Stock 59,716 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026884 · form4.xml · nonDerivative · entry 2

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The David P. Southwell Irrevocable Trust Dtd 04/14/2024

Disclosed balance after: 113,124

F1 · price: The shares of common stock were transferred by the Reporting Person as a gift to The David P. Southwell Irrevocable Trust Dtd 04/14/2024. No funds were exchanged, and no sale of shares occurred in the transfer.

Read SEC document
May 02, 2024 Filed May 20, 2024 20:39 UTC GiftCommon Stock 113,124 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-026884 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,660

F1 · price: The shares of common stock were transferred by the Reporting Person as a gift to The David P. Southwell Irrevocable Trust Dtd 04/14/2024. No funds were exchanged, and no sale of shares occurred in the transfer.

Read SEC document
April 22, 2024 Filed Apr 24, 2024 20:06 UTC
Militello JohnSee Remarks
SaleCommon Stock 833 $22.87 $19,050.71
Disclosure

SEC source: 0001140361-24-021703 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,406

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.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 21:45 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 29,624 $4.34 Strike: $4.34 $128,627.41
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · derivative · entry 7

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,624 shares

Expires 2024-08-28

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.

F6 · derivative.exercise_date: This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 21:45 UTC SaleCommon Stock 10,000 $24.05 $240,520.00
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · nonDerivative · entry 5

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,784

F4 · security: Shares were sold by the Reporting Person in order to cover certain tax obligations.

F5 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.335. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 21:45 UTC Exercise / conversionCommon Stock 29,624 $4.34 $128,627.41
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · nonDerivative · entry 4

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,784

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 shares received upon exercise of Stock Options, which would otherwise expire in August 2024.

Read SEC document
April 12, 2024 Filed Apr 16, 2024 21:45 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 70,000 $4.34 Strike: $4.34 $303,940.00
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · derivative · entry 6

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,624

Underlying: Common Stock · 70,000 shares

Expires 2024-08-28

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.

F6 · derivative.exercise_date: This option represents a right to purchase a total of 99,624 shares of the Issuer's Common Stock, which became fully vested and exercisable on January 4, 2018.

Read SEC document
April 12, 2024 Filed Apr 16, 2024 21:45 UTC SaleCommon Stock 10,284 $25.16 $258,704.30
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · nonDerivative · entry 3

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,160

F4 · security: Shares were sold by the Reporting Person in order to cover certain tax obligations.

F3 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $25.155 to $25.17. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
April 12, 2024 Filed Apr 16, 2024 21:45 UTC SaleCommon Stock 59,716 $24.22 $1,446,560.38
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · nonDerivative · entry 2

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,444

F4 · security: Shares were sold by the Reporting Person in order to cover certain tax obligations.

F2 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $23.87 to $24.68. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
April 12, 2024 Filed Apr 16, 2024 21:45 UTC Exercise / conversionCommon Stock 70,000 $4.34 $303,940.00
Disclosure

SEC source: 0001140361-24-020127 · form4.xml · nonDerivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,160

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 shares received upon exercise of Stock Options, which would otherwise expire in August 2024.

Read SEC document
April 08, 2024 Filed Apr 11, 2024 00:39 UTC SaleCommon Stock 12,532 $24.64 $308,763.42
Disclosure

SEC source: 0001140361-24-019167 · form4.xml · nonDerivative · entry 1

White Mark Andrew · CIK 0001973240 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,226

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.

Read SEC document
April 01, 2024 Filed Apr 3, 2024 18:02 UTC
Ondrey AaronChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 69,337 $0.00 Strike: $26.72 $0.00
Disclosure

SEC source: 0001140361-24-017684 · form4.xml · derivative · entry 2

Ondrey Aaron · CIK 0001991078 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,337

Underlying: Common Stock · 69,337 shares

Expires 2034-04-01

F2 · derivative.exercise_date: This option represents a right to purchase a total of 69,337 shares of the Issuer's common stock, one-third of which will become fully vested and exercisable on April 1, 2025, 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.

Read SEC document
April 01, 2024 Filed Apr 3, 2024 18:02 UTC
Ondrey AaronChief Financial Officer
GrantCommon Stock 46,781 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-017684 · form4.xml · nonDerivative · entry 1

Ondrey Aaron · CIK 0001991078 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,781

F1 · security: Holdings are Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on April 1, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · shares: Holdings are Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on April 1, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
March 21, 2024 Filed Mar 25, 2024 20:58 UTC SaleCommon Stock 274,000 $28.43 $7,790,943.40
Disclosure

SEC source: 0001140361-24-015103 · form4.xml · nonDerivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Simran Investment Group

Disclosed balance after: 365,912

F1 · ownership.nature: 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.

Read SEC document
March 21, 2024 Filed Mar 26, 2024 00:54 UTC
Militello JohnSee Remarks
SaleCommon Stock 2,490 $28.10 $69,978.96
Disclosure

SEC source: 0001140361-24-015101 · form4.xml · nonDerivative · entry 5

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,239

F4 · security: The shares of common stock were sold by the Reporting Person in order to pay tax obligations in connection with the vesting of RSUs over the course of 2023.

F4 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax obligations in connection with the vesting of RSUs over the course of 2023.

Read SEC document
March 21, 2024 Filed Jun 10, 2024 10:34 UTC Amendment SaleCommon Stock 274,000 $28.43 $7,790,943.40
Disclosure

SEC source: 0001140361-24-029438 · form4.xml · nonDerivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Simran Investment Group

Disclosed balance after: 365,912

F1 · ownership.nature: 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.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:54 UTC
Militello JohnSee Remarks
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $12.55 Strike: $12.55 $125,500.00
Disclosure

SEC source: 0001140361-24-011170 · form4.xml · derivative · entry 3

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2028-01-28

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_date: This option represents a right to purchase a total of 10,000 shares of the Issuer's Common Stock, one-third of which became fully vested and exercisable on January 8, 2019, with the remaining two-thirds vesting in equal quarterly installments over the following two years.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:54 UTC
Militello JohnSee Remarks
SaleCommon Stock 10,000 $29.85 $298,450.00
Disclosure

SEC source: 0001140361-24-011170 · form4.xml · nonDerivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,517

F2 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $29.78 to $29.91. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:54 UTC
Militello JohnSee Remarks
Exercise / conversionCommon Stock 10,000 $12.55 $125,500.00
Disclosure

SEC source: 0001140361-24-011170 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,517

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 shares received upon exercise of a Stock Option.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:48 UTC
Wilson MartinGeneral Counsel
SaleCommon Stock 4,100 $29.33 $120,257.10
Disclosure

SEC source: 0001140361-24-011168 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,680

F1 · price: Represents a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $29.33 to $29.37. The Reporting Person has provided the issuer and will provide any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Militello JohnSee Remarks
GrantStock Option (Right to Buy) · Derivative 24,545 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008888 · form4.xml · derivative · entry 3

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,545

Underlying: Common Stock · 24,545 shares

Expires 2034-02-16

F5 · derivative.exercise_date: This option represents a right to purchase a total of 24,545 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Militello JohnSee Remarks
GrantCommon Stock 8,322 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008888 · form4.xml · nonDerivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,517

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · 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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Militello JohnSee Remarks
SaleCommon Stock 3,238 $29.84 $96,615.44
Disclosure

SEC source: 0001140361-24-008888 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,195

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Wilson MartinGeneral Counsel
GrantStock Option (Right to Buy) · Derivative 49,091 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008890 · form4.xml · derivative · entry 3

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,091

Underlying: Common Stock · 49,091 shares

Expires 2034-02-16

F5 · derivative.exercise_date: This option represents a right to purchase a total of 49,091 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Wilson MartinGeneral Counsel
GrantCommon Stock 16,644 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008890 · form4.xml · nonDerivative · entry 2

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,780

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · 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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Wilson MartinGeneral Counsel
SaleCommon Stock 3,576 $29.84 $106,700.69
Disclosure

SEC source: 0001140361-24-008890 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,136

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Patel KinnariSee Remarks
GrantStock Option (Right to Buy) · Derivative 98,183 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,183

Underlying: Common Stock · 98,183 shares

Expires 2034-02-16

F6 · derivative.exercise_date: This option represents a right to purchase a total of 98,183 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Patel KinnariSee Remarks
GrantCommon Stock 33,288 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 271,634

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · 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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Patel KinnariSee Remarks
SaleCommon Stock 7,132 $29.84 $212,804.62
Disclosure

SEC source: 0001140361-24-008889 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,346

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
White Mark AndrewChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 32,727 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008887 · form4.xml · derivative · entry 2

White Mark Andrew · CIK 0001973240 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,727

Underlying: Common Stock · 32,727 shares

Expires 2034-02-16

F2 · derivative.exercise_date: This option represents a right to purchase a total of 32,727 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
White Mark AndrewChief Medical Officer
GrantCommon Stock 11,096 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008887 · form4.xml · nonDerivative · entry 1

White Mark Andrew · CIK 0001973240 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,758

F1 · security: Holdings are Restricted Stock Units ("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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

F1 · shares: Holdings are Restricted Stock Units ("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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Shah GauravDirector · CEO
GrantStock Option (Right to Buy) · Derivative 196,336 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,336

Underlying: Common Stock · 196,336 shares

Expires 2034-02-16

F5 · derivative.exercise_date: This option represents a right to purchase a total of 196,336 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 16, 2025, 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.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Shah GauravDirector · CEO
GrantCommon Stock 66,577 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 621,339

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F4 · 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 16, 2025, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 16, 2024 Filed Feb 22, 2024 01:54 UTC
Shah GauravDirector · CEO
SaleCommon Stock 20,272 $29.84 $604,875.94
Disclosure

SEC source: 0001140361-24-008886 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 554,762

F1 · security: The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").

F2 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F3 · shares: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Militello JohnSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 5,549 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008357 · form4.xml · derivative · entry 3

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,159

Underlying: Common Stock · 5,549 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Militello JohnSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 725 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008357 · form4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,903

Underlying: Common Stock · 725 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Militello JohnSee Remarks
Exercise / conversionCommon Stock 6,274 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008357 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,433

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 shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Shah GauravDirector · CEO
Exercise / conversionRestricted Stock Units · Derivative 38,849 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · derivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,468

Underlying: Common Stock · 38,849 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 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Shah GauravDirector · CEO
Exercise / conversionRestricted Stock Units · Derivative 7,979 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · derivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,919

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.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Shah GauravDirector · CEO
Exercise / conversionCommon Stock 46,828 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008359 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 575,034

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 shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Patel KinnariSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 22,199 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · derivative · entry 5

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,268

Underlying: Common Stock · 22,199 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 the Issuer's common stock.

F5 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal annual installments over the following two years.

F5 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal annual installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Patel KinnariSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 3,990 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · derivative · entry 4

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,960

Underlying: Common Stock · 3,990 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 the Issuer's common stock.

F4 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

F4 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal annual installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Patel KinnariSee Remarks
Exercise / conversionCommon Stock 26,189 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008358 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,478

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 shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Wilson MartinGeneral Counsel
Exercise / conversionRestricted Stock Units · Derivative 9,712 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008360 · form4.xml · derivative · entry 2

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,367

Underlying: Common Stock · 9,712 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 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

F3 · derivative.expiration_date: One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:05 UTC
Wilson MartinGeneral Counsel
Exercise / conversionCommon Stock 9,712 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-008360 · form4.xml · nonDerivative · entry 1

Wilson Martin · CIK 0001704342 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,712

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 shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

F1 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.

Read SEC document
January 22, 2024 Filed Jan 23, 2024 21:22 UTC
Militello JohnSee Remarks
SaleCommon Stock 638 $27.20 $17,355.51
Disclosure

SEC source: 0001140361-24-003421 · form4.xml · nonDerivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,159

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person.

F2 · kind: The shares of common stock were sold by the Reporting Person pursuant to an exemption to the Lock-Up Agreement in order to pay tax withholding obligations in connection with the vesting of RSUs. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.

Read SEC document
January 18, 2024 Filed Jan 22, 2024 21:05 UTC
Militello JohnSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 1,586 $0.00 $0.00
Disclosure

SEC source: 0001140361-24-003111 · form4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,932

Underlying: Common Stock · 1,586 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

Read SEC document

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