Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.ITEK · Entity 5627 | See Remarks | January 23, 2017 | January 24, 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 January 23, 2017 · Filed January 24, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 120,000 |
Reported balance
After 2017-01-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-23 · Grant · Acquired 120,000 · Balance 120,000 F1: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock. F2: 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 175,000 |
Reported balance
After 2017-01-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-01-23 · Grant · Acquired 175,000 · Balance 175,000 F1: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock. F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of ITEK common stock.
F2: 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.
F3: 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.
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 |
|---|---|---|---|---|---|---|
| January 23, 2017 Filed Jan 24, 2017 21:31 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantRestricted Stock Units · Derivative | 175,000 | $0.00 | $0.00 |
DisclosureSEC 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 | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantRestricted Stock Units · Derivative | 120,000 | $0.00 | $0.00 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.