Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | CEO | August 18, 2026 | August 20, 2026 |
| Tourmaline Bio, Inc.TALS · Entity 15643 | Director | June 13, 2023 | June 14, 2023 |
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 August 18, 2026 · Filed August 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,056,594 |
Reported balance
After 2026-08-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-18 · Sale · Disposed 2,293 · Balance 1,056,594 F1: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 207,897 |
Reported balance
Holding disclosure · report date 2026-08-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 207,897 |
| Common StockSEC Table I · non-derivative | IndirectBy Gaurav D. Shah Irrevocable Trust | 198,341 |
Reported balance
Holding disclosure · report date 2026-08-18 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 198,341 |
Filing footnotes · ownership attribution and instrument terms
F1: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.
F2: 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.
Tourmaline Bio, Inc.
Report date June 13, 2023 · Filed June 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.54 · Expires 2033-06-13 | Direct | 20,500 |
Reported balance
After 2023-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-13 · Grant · Acquired 20,500 · Balance 20,500 F1: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting.
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 |
|---|---|---|---|---|---|---|
| June 09, 2022 Filed Jun 13, 2022 22:16 UTC | Tourmaline Bio, Inc. TALS · Entity 15643 | GrantStock Option (Right to Buy) · Derivative | 14,501 | $0.00 Strike: $8.45 | $0.00 |
DisclosureSEC source: 0000899243-22-022252 · doc4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,501 Underlying: Common Stock · 14,501 shares Expires 2032-06-08 F1 · derivative.exercise_date: The shares underlying this option shall vest as follows: the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next Annual Meeting. Read SEC document |
| February 14, 2022 Filed Feb 17, 2022 02:02 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 95,275 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-005823 · form4.xml · derivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,275 Underlying: Common Stock · 95,275 shares Expires not disclosed 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 restricted stock units will become 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 restricted stock units will become 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, 2022 Filed Feb 17, 2022 02:02 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 297,037 | $0.00 Strike: $20.00 | $0.00 |
DisclosureSEC source: 0001140361-22-005823 · form4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,037 Underlying: Common Stock · 297,037 shares Expires 2032-02-13 F1 · derivative.exercise_date: This option represents a right to purchase a total of 297,037 shares of the Issuer's common stock, one-third (1/3) of which will become 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, 2022 Filed May 20, 2024 20:33 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherRestricted Stock Units · Derivative | 23,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-026878 · form4.xml · derivative · entry 10 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,763 shares Expires not disclosed 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. F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. 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 |
| February 14, 2022 Filed May 20, 2024 20:33 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | OtherCommon Stock | 23,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-24-026878 · form4.xml · nonDerivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 670,074 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. F3 · security: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. F3 · kind: Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. Read SEC document |
| February 07, 2022 Filed Feb 8, 2022 21:43 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | PurchaseCommon Stock | 22,000 | $17.34 | $381,513.00 |
DisclosureSEC source: 0001140361-22-004209 · form4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,639 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.03 to $17.50, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc. ("RCKT"), any security holder of RCKT, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 01:09 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 7,475 | $47.21 | $352,902.97 |
DisclosureSEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 4 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 495,639 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F5 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $46.88 to $47.76. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 01:09 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 8,872 | $46.45 | $412,075.12 |
DisclosureSEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 503,114 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F4 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $45.88 to $46.87. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 01, 2021 Filed Apr 2, 2021 01:09 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 5,919 | $45.21 | $267,576.09 |
DisclosureSEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,986 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F3 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.83 to $45.79. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionStock Option (Right to Buy) · Derivative | 75,880 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · derivative · entry 11 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,880 shares Expires 2027-04-12 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. F9 · derivative.exercise_date: This option is fully vested and exercisable. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 23,003 | $45.06 | $1,036,556.59 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 8 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 525,398 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F8 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.67 to $45.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 61,350 | $44.24 | $2,714,320.32 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 7 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 548,401 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F7 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.67 to $44.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 3,000 | $45.59 | $136,770.00 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 6 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 609,751 F6 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price and the tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. These shares were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options and the tax liability Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 75,880 | $1.69 | $128,237.20 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 5 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 612,751 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. Read SEC document |
| March 31, 2021 Filed Apr 2, 2021 01:09 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 7,493 | $45.94 | $344,235.16 |
DisclosureSEC source: 0001140361-21-011313 · form4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,905 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $45.67 to $46.57. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 8,505 | $44.34 | $377,104.90 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 4 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 536,871 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F5 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.24 to $44.56. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 48,732 | $43.86 | $2,137,151.61 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 545,376 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F4 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.24 to $44.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 8,667 | $42.80 | $370,906.00 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 594,108 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F3 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $42.245 to $43.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 19,984 | $41.80 | $835,329.20 |
DisclosureSEC source: 0001140361-21-011312 · form4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 614,092 F1 · kind: The sales reported on this Form 4 represent shares required to be 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. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $41.165 to $42.15. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 04, 2021 Filed Feb 9, 2021 01:41 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 185,000 | $0.00 Strike: $62.32 | $0.00 |
DisclosureSEC source: 0001140361-21-003782 · form4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,000 Underlying: Common Sock · 185,000 shares Expires 2031-02-03 F1 · derivative.exercise_date: The option represents a right to purchase a total of 185,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 4, 2022, 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 |
| December 31, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 72,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 6 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By: Gaurav D. Shah Irrevocable Trust Disclosed balance after: 198,341 Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 72,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 5 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 622,759 F2 · kind: Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust. Read SEC document |
| December 18, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 126,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 4 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By: Gaurav D. Shah Irrevocable Trust Disclosed balance after: 126,341 Read SEC document |
| December 18, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 126,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 694,759 F2 · kind: Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust. Read SEC document |
| December 09, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 207,897 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 207,897 F1 · kind: Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person. Read SEC document |
| December 09, 2020 Filed Feb 17, 2021 02:55 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GiftCommon Stock | 207,897 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 821,100 F1 · kind: Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 23:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionStock Option (Right to Buy) · Derivative | 90,925 | $0.00 Strike: $0.44 | $0.00 |
DisclosureSEC source: 0001140361-20-007081 · form4.xml · derivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,925 shares Expires 2020-12-15 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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration. F3 · derivative.exercise_date: The option is fully vested and immediately exercisable and will expire under its own terms this year. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 23:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 32,645 | $13.78 | $449,848.10 |
DisclosureSEC source: 0001140361-20-007081 · form4.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,028,997 F2 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price and the tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options and the tax liability, Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 23:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 90,925 | $0.43 | $39,097.75 |
DisclosureSEC source: 0001140361-20-007081 · form4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,061,642 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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 22:36 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionStock Option (Right to Buy) · Derivative | 290,000 | $0.00 Strike: $0.44 | $0.00 |
DisclosureSEC source: 0001209191-20-013480 · doc4.xml · derivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,925 Underlying: Common Stock · 290,000 shares Expires 2020-12-15 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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration. F3 · derivative.exercise_date: The option is fully vested and immediately exercisable and will expire under its own terms this year. F4 · derivative.expiration_date: As the result of an administrative error, the Form 3 previously filed with the Securities and Exchange Commission on January 16, 2018 incorrectly reported the expiration date of this option. The expiration date is corrected on this Form 4. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 22:36 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Tax withholdingCommon Stock | 6,233 | $20.15 | $125,594.95 |
DisclosureSEC source: 0001209191-20-013480 · doc4.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 970,717 F2 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 22:36 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 290,000 | $0.43 | $125,628.00 |
DisclosureSEC source: 0001209191-20-013480 · doc4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 976,950 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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 22:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 383,306 | $0.00 Strike: $22.72 | $0.00 |
DisclosureSEC source: 0001209191-20-008018 · doc4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,306 Underlying: Common Stock · 383,306 shares Expires 2030-02-06 F1 · derivative.exercise_date: This option represents a right to purchase a total of 383,306 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, 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 |
| March 05, 2019 Filed Mar 6, 2019 00:23 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 25,000 | $16.90 | $422,500.00 |
DisclosureSEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 3 Shah Gaurav · CIK 0001725922 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 686,950 F3 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.43 to $17.73. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 04, 2019 Filed Mar 6, 2019 00:23 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 24,900 | $17.28 | $430,272.00 |
DisclosureSEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 2 Shah Gaurav · CIK 0001725922 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 711,950 F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $16.76 to $17.71. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 01, 2019 Filed Mar 6, 2019 00:23 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 25,000 | $17.34 | $433,500.00 |
DisclosureSEC source: 0001140361-19-004456 · form4.xml · nonDerivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 736,850 F1 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $17.01 to $17.56. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:29 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 315,700 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001140361-19-002001 · form4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,700 Underlying: Common Stock · 315,700 shares Expires 2029-01-28 F1 · derivative.exercise_date: This option represents a right to purchase a total of 315,700 shares of the Issuer's Common Stock, 105,236 of which will become fully vested and exercisable on January 28, 2020, with the remaining 210,464 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 |
| March 29, 2018 Filed Apr 3, 2018 00:12 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 395,000 | $0.00 Strike: $18.75 | $0.00 |
DisclosureSEC source: 0000899243-18-009118 · doc4.xml · derivative · entry 1 Shah Gaurav · CIK 0001725922 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,000 Underlying: Common Stock · 395,000 shares Expires 2028-03-29 F1 · derivative.exercise_date: This option represents a right to purchase a total of 395,000 shares of the Issuer's Common Stock, 131,672 of which will become fully vested and exercisable on March 29, 2019, with the remaining 263,328 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.