person · Reporting owner
Schwartz Jonathan David
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | See Remarks | November 18, 2025 | November 20, 2025 |
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 November 18, 2025 · Filed November 20, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 299,064 |
Reported balance
After 2025-11-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-11-18 · Sale · Disposed 2,545 · Balance 299,064 F1: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. |
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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Tabula Rasa HealthCare, Inc.
Report date November 03, 2023 · Filed November 14, 2023
Section 16 reporting ended · disclosed 2023-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-11-03 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-11-03 · Disposition to issuer · Disposed 17,582 · Balance 60,806 F1: Upon the consummation of the merger (the "Merger") contemplated by that certain Agreement and Plan of Merger, by and among Tabula Rasa HealthCare, Inc. (the "Company"), Locke Buyer, LLC and Locke Merger Sub, Inc., dated August 5, 2023 (the "Merger Agreement"), 17,582 shares of common stock of the Company ("Common Stock") were converted into the right to receive a cash payment of $184,611, representing the product obtained by multiplying (x) the number of shares of Common Stock owned by the reporting person, by (y) the offer price ($10.50). Row 2 · 2023-11-03 · Disposition to issuer · Disposed 60,806 · Balance 0 F2: Upon the consummation of the Merger, pursuant to the Merger Agreement, 60,806 unvested restricted stock awards ("RSAs") were cancelled and converted into the right to receive a cash payment of $638,463, representing the product obtained by multiplying (x) the aggregate number of shares of Common Stock underlying the RSAs, by (y) the offer price ($10.50). |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the consummation of the merger (the "Merger") contemplated by that certain Agreement and Plan of Merger, by and among Tabula Rasa HealthCare, Inc. (the "Company"), Locke Buyer, LLC and Locke Merger Sub, Inc., dated August 5, 2023 (the "Merger Agreement"), 17,582 shares of common stock of the Company ("Common Stock") were converted into the right to receive a cash payment of $184,611, representing the product obtained by multiplying (x) the number of shares of Common Stock owned by the reporting person, by (y) the offer price ($10.50).
F2: Upon the consummation of the Merger, pursuant to the Merger Agreement, 60,806 unvested restricted stock awards ("RSAs") were cancelled and converted into the right to receive a cash payment of $638,463, representing the product obtained by multiplying (x) the aggregate number of shares of Common Stock underlying the RSAs, by (y) the offer price ($10.50).
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 |
|---|---|---|---|---|---|---|
| November 18, 2025 Filed Nov 20, 2025 16:05 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 2,545 | $2.98 | $7,591.74 |
DisclosureSEC source: 0001140361-25-042856 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 299,064 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. Read SEC document |
| September 08, 2025 Filed Sep 9, 2025 16:15 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-25-034420 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 301,609 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: 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 September 8, 2026, with the remaining shares vesting in equal quarterly installments over the following two years. Read SEC document |
| August 19, 2025 Filed Aug 20, 2025 17:00 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 805 | $3.00 | $2,411.78 |
DisclosureSEC source: 0001140361-25-032091 · form4.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 221,609 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 18, 2025 Filed Aug 20, 2025 17:00 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 1,680 | $3.07 | $5,149.20 |
DisclosureSEC source: 0001140361-25-032091 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 222,414 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 14, 2025 Filed Aug 18, 2025 16:35 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 11,161 | $3.02 | $33,695.06 |
DisclosureSEC source: 0001140361-25-031762 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 224,094 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 20, 2025 Filed May 22, 2025 16:05 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 801 | $6.45 | $5,163.25 |
DisclosureSEC source: 0001140361-25-020162 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 235,255 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 16, 2025 Filed May 20, 2025 16:05 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 1,582 | $6.53 | $10,327.30 |
DisclosureSEC source: 0001140361-25-019900 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,056 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 6,532 | $10.58 | $69,108.56 |
DisclosureSEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 4 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 237,638 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. F3 · balance_after: Inclusive of the acquisition of 80,318 RSUs that convert to common stock on a one-for-one basis, as reported on the Reporting Person's Form 4 filed on 02/13/2025. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 119,682 | $0.00 Strike: $9.88 | $0.00 |
DisclosureSEC source: 0001140361-25-004295 · form4.xml · derivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,682 Underlying: Common Stock · 119,682 shares Expires 2025-02-11 F2 · derivative.exercise_date: This option represents a right to purchase a total of 119,682 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer. Read SEC document |
| February 11, 2025 Filed Feb 13, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantCommon Stock | 80,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-25-004295 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 252,731 F1 · security: Represent RSUs that convert to common stock on a one-for-one basis. One-third (1/3) of such RSUs will become fully vested on February 11, 2026, with the remaining shares vesting in equal quarterly installments over the following two years. Read SEC document |
| November 21, 2024 Filed Feb 27, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 3,097 | $13.05 | $40,415.85 |
DisclosureSEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 3 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 163,852 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 16, 2024 Filed Feb 27, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 2,710 | $18.50 | $50,135.00 |
DisclosureSEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 166,949 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 17, 2024 Filed Feb 27, 2025 16:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 2,754 | $23.35 | $64,305.90 |
DisclosureSEC source: 0001140361-25-006272 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 169,659 F1 · security: Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis. F2 · kind: The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 03, 2023 Filed Nov 14, 2023 20:59 UTC | Tabula Rasa HealthCare, Inc. TRHC · Entity 108300 | Disposition to issuerCommon Stock | 60,806 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-015129 · form4-11152023_011129.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · price: Upon the consummation of the Merger, pursuant to the Merger Agreement, 60,806 unvested restricted stock awards ("RSAs") were cancelled and converted into the right to receive a cash payment of $638,463, representing the product obtained by multiplying (x) the aggregate number of shares of Common Stock underlying the RSAs, by (y) the offer price ($10.50). Read SEC document |
| November 03, 2023 Filed Nov 14, 2023 20:59 UTC | Tabula Rasa HealthCare, Inc. TRHC · Entity 108300 | Disposition to issuerCommon Stock | 17,582 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-015129 · form4-11152023_011129.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,806 F1 · price: Upon the consummation of the merger (the "Merger") contemplated by that certain Agreement and Plan of Merger, by and among Tabula Rasa HealthCare, Inc. (the "Company"), Locke Buyer, LLC and Locke Merger Sub, Inc., dated August 5, 2023 (the "Merger Agreement"), 17,582 shares of common stock of the Company ("Common Stock") were converted into the right to receive a cash payment of $184,611, representing the product obtained by multiplying (x) the number of shares of Common Stock owned by the reporting person, by (y) the offer price ($10.50). Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 16:33 UTC | Tabula Rasa HealthCare, Inc. TRHC · Entity 108300 | GrantCommon Stock | 25,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-009747 · form4-06132023_080617.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,388 F1 · shares: The reporting person received a restricted stock award of 25,641 shares of the Company's common stock on June 9, 2023. Such common stock will vest in full on the one-year anniversary of the grant date. Read SEC document |
| February 17, 2023 Filed Feb 22, 2023 19:28 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 3,557 | $19.06 | $67,796.42 |
DisclosureSEC source: 0001140361-23-008104 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,546 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 · price: This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. 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 14, 2023 Filed Feb 16, 2023 16:45 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 41,541 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-007484 · form4.xml · derivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,541 Underlying: Common Stock · 41,541 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, 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 restricted stock units will become 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, 2023 Filed Feb 16, 2023 16:45 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 124,496 | $0.00 Strike: $20.04 | $0.00 |
DisclosureSEC source: 0001140361-23-007484 · form4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,496 Underlying: Common Stock · 124,496 shares Expires 2033-02-13 F1 · derivative.exercise_date: This option represents a right to purchase a total of 124,496 shares of the Issuer's common stock, one-third (1/3) of which will become 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, 2023 Filed Feb 22, 2023 19:25 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionRestricted Stock Units · Derivative | 8,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-008101 · form4.xml · derivative · entry 4 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,410 Underlying: Common Stock · 8,574 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: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F6 · derivative.exercise_date: One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years. F6 · derivative.expiration_date: One-third (1/3) of such restricted stock units 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, 2023 Filed Feb 22, 2023 19:25 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 41,541 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-008101 · form4.xml · derivative · entry 3 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,541 Underlying: Common Stock · 41,541 shares Expires not disclosed F4 · 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 restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years. F5 · derivative.expiration_date: One-third (1/3) of such restricted stock units will become 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, 2023 Filed Feb 22, 2023 19:25 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 124,496 | $0.00 Strike: $20.04 | $0.00 |
DisclosureSEC source: 0001140361-23-008101 · form4.xml · derivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,496 Underlying: Common Stock · 124,496 shares Expires 2033-02-13 F3 · derivative.exercise_date: This option represents a right to purchase a total of 124,496 shares of the Issuer's common stock, one-third (1/3) of which will become 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, 2023 Filed Feb 22, 2023 19:25 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 8,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-008101 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,103 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: The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023. F2 · shares: Represents shares of Common Stock received upon vesting of a restricted stock unit award. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 21:06 UTC | Tabula Rasa HealthCare, Inc. TRHC · Entity 108300 | GrantCommon Stock | 52,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-009692 · form4-09152022_060943.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,747 F1 · kind: Pursuant to the Tabula Rasa HealthCare, Inc. Non-Employee Director Compensation Policy (the "Policy"), the reporting person received an Initial Equity Award (as such term is defined in the Policy) of 52,747 shares of restricted stock of the issuer's common stock in connection with the reporting person's appointment to the issuer's Board of Directors. F2 · shares: The restricted stock awards vest in three substantially equal annual installments on September 13, 2023, September 13, 2024, and September 13, 2025. Read SEC document |
| August 12, 2022 Filed Aug 16, 2022 17:33 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 22,896 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-029894 · form4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,896 Underlying: Common Stock · 22,896 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units will become fully vested on August 12, 2025. F2 · derivative.expiration_date: The restricted stock units will become fully vested on August 12, 2025. Read SEC document |
| April 01, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 32,026 | $16.20 | $518,821.20 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 6 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,529 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive. Read SEC document |
| April 01, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 12,974 | $15.86 | $205,767.64 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 5 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,555 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 35,998 | $16.15 | $581,367.70 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 4 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,529 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 9,002 | $15.90 | $143,131.80 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 3 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,527 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F2 · kind: The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:51 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 34,438 | $16.56 | $570,293.28 |
DisclosureSEC source: 0001140361-22-012640 · form4.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,529 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive. Read SEC document |
| March 30, 2022 Filed Apr 1, 2022 16:51 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 10,562 | $15.94 | $168,358.28 |
DisclosureSEC source: 0001140361-22-012640 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,967 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2 and 3 to this Form 4. Read SEC document |
| March 30, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 34,438 | $16.56 | $570,293.28 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,529 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive. Read SEC document |
| March 30, 2022 Filed Apr 4, 2022 07:37 UTC Amendment | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 10,562 | $15.94 | $168,358.28 |
DisclosureSEC source: 0001140361-22-012779 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,967 F1 · kind: This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person." F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4. Read SEC document |
| February 14, 2022 Filed Feb 16, 2022 21:02 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 25,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-005825 · form4.xml · derivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,984 Underlying: Common Stock · 25,984 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 16, 2022 21:02 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 81,010 | $0.00 Strike: $20.00 | $0.00 |
DisclosureSEC source: 0001140361-22-005825 · form4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,010 Underlying: Common Stock · 81,010 shares Expires 2032-02-13 F1 · derivative.exercise_date: This option represents a right to purchase a total of 81,010 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 04, 2021 Filed Feb 8, 2021 20:34 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Disposition to issuerStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $62.32 | $0.00 |
DisclosureSEC source: 0001140361-21-003780 · form4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2031-02-03 F1 · derivative.exercise_date: The option represents a right to purchase a total of 35,000 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 |
| February 01, 2021 Filed Feb 3, 2021 21:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Disposition to issuerStock Option (Right to Buy) · Derivative | 11,428 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001140361-21-003321 · form4.xml · derivative · entry 3 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,428 shares Expires 2027-04-12 F1 · derivative.exercise_date: This option represents a right to purchase a total of 11,428 shares of the Issuer's Common Stock 4,113 of which will become fully vested and exercisable on April 12, 2018, with the remaining 7,315 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 01, 2021 Filed Feb 3, 2021 21:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 213,101 | $1.21 | $257,852.21 |
DisclosureSEC source: 0001140361-21-003321 · form4.xml · nonDerivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,529 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 |
| February 01, 2021 Filed Feb 3, 2021 21:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 11,428 | $1.69 | $19,313.32 |
DisclosureSEC source: 0001140361-21-003321 · form4.xml · nonDerivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,428 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 |
| February 10, 2020 Filed Feb 10, 2020 17:07 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $23.89 | $0.00 |
DisclosureSEC source: 0001209191-20-008017 · doc4.xml · derivative · entry 2 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2030-02-10 F2 · derivative.exercise_date: This option represents a right to purchase a total of 7,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 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 |
| February 10, 2020 Filed Feb 3, 2021 21:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Disposition to issuerStock Option (Right to Buy) · Derivative | 213,101 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001140361-21-003321 · form4.xml · derivative · entry 4 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,309 Underlying: Common Stock · 213,101 shares Expires 2026-02-08 F2 · derivative.exercise_date: This option represents a right to purchase a total of 251,410 shares of the Issuer's Common Stock 83,803 of which became fully vested and exercisable on February 8, 2017, with the remaining 167,607 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 06, 2020 Filed Feb 10, 2020 17:07 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $22.72 | $0.00 |
DisclosureSEC source: 0001209191-20-008017 · doc4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2030-02-06 F1 · derivative.exercise_date: This option represents a right to purchase a total of 75,000 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 |
| September 02, 2019 Filed Sep 4, 2019 16:22 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $10.85 | $0.00 |
DisclosureSEC source: 0001209191-19-048190 · doc4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-09-02 F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, 10,000 of which will become fully vested and exercisable on September 2, 2020, with the remaining 20,000 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 |
| January 28, 2019 Filed Jan 30, 2019 18:48 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001140361-19-002016 · form4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2029-01-28 F1 · derivative.exercise_date: This option represents a right to purchase a total of 75,000 shares of the Issuer's Common Stock, 25,000 of which will become fully vested and exercisable on January 28, 2020, with the remaining 50,000 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 2, 2018 20:07 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $18.75 | $0.00 |
DisclosureSEC source: 0000899243-18-009111 · doc4.xml · derivative · entry 1 Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-03-29 F1 · derivative.exercise_date: This option represents a right to purchase a total of 60,000 shares of the Issuer's Common Stock, 20,000 of which will become fully vested and exercisable on March 29, 2019, with the remaining 40,000 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.