Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.ITEK · Entity 5627 | Vice President, Finance | September 14, 2017 | September 18, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ROCKET PHARMACEUTICALS, INC.
Report date September 14, 2017 · Filed September 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,827 |
Reported balance
After 2017-09-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-09-14 · Exercise / conversion · Acquired 12,500 · Balance 19,827 F1: Includes 7,327 shares of ITEK's common stock acquired under ITEK's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I information. Of these 7,237 shares of ITEK's common stock, 2,591 shares were acquired on November 30, 2015 at the price of $4.83, 782 shares were acquired on May 31, 2016 at the price of $7.82, 1,765 shares were acquired on November 30, 2016 at the price of $5.44 and 2,189 shares were acquired on May 31, 2017 at the price of $1.45. F2: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 37,500 |
Reported balance
After 2017-01-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-01-17 · Exercise / conversion · Disposed 12,500 · Balance 37,500 F3: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock. F2: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 7,327 shares of ITEK's common stock acquired under ITEK's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I information. Of these 7,237 shares of ITEK's common stock, 2,591 shares were acquired on November 30, 2015 at the price of $4.83, 782 shares were acquired on May 31, 2016 at the price of $7.82, 1,765 shares were acquired on November 30, 2016 at the price of $5.44 and 2,189 shares were acquired on May 31, 2017 at the price of $1.45.
F2: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below.
F3: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.
F4: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 14, 2017 Filed Sep 18, 2017 20:35 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | Exercise / conversionCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-053158 · doc4.xml · nonDerivative · entry 1 RITTER DALE · CIK 0001244154 · Vice President, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,827 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 · balance_after: Includes 7,327 shares of ITEK's common stock acquired under ITEK's Employee Stock Purchase Plan since the date of the Reporting Person's last Form 4 with Table I information. Of these 7,237 shares of ITEK's common stock, 2,591 shares were acquired on November 30, 2015 at the price of $4.83, 782 shares were acquired on May 31, 2016 at the price of $7.82, 1,765 shares were acquired on November 30, 2016 at the price of $5.44 and 2,189 shares were acquired on May 31, 2017 at the price of $1.45. F2 · balance_after: On September 14, 2017, 12,500 shares of Common Stock were issued in settlement of the restricted stock units described in footnote (4) below. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 21:31 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 17, 2017 Filed Sep 18, 2017 20:35 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC 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. 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.