Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROCKET PHARMACEUTICALS, INC.RCKT · Entity 5627 | See Remarks | May 20, 2025 | May 22, 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 May 20, 2025 · Filed May 22, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 441,927 |
Reported balance
After 2025-05-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-05-20 · Sale · Disposed 767 · Balance 441,927 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 | 26,774 |
Reported balance
Holding disclosure · report date 2025-05-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 26,774 |
| Common StockSEC Table I · non-derivative | IndirectBy Adaptive Technology LLC | 104,927 |
Reported balance
Holding disclosure · report date 2025-05-20 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 104,927 F3: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband. |
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.
F3: The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband.
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 |
|---|---|---|---|---|---|---|
| December 28, 2020 Filed Dec 30, 2020 21:50 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | SaleCommon Stock | 11,334 | $56.51 | $640,507.01 |
DisclosureSEC source: 0001140361-20-029917 · form4.xml · nonDerivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,404 F1 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $55.90 to $56.86. 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 |
| October 05, 2020 Filed Oct 8, 2020 01:18 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-022671 · form4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2030-10-05 F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions. F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units shall vest in equal annual installments over 3 years from October 5, 2020 (date of grant) subject to continued service through such dates. F3 · ownership.nature: The restricted stock units were granted to the reporting person's husband, in connection with a Consulting Agreement for information technology services provided to the Company. Read SEC document |
| September 08, 2020 Filed Sep 10, 2020 20:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $23.05 | $0.00 |
DisclosureSEC source: 0001140361-20-020136 · form4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-09-08 F1 · derivative.exercise_date: The option represents a right to purchase a total of 50,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on September 8, 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 18, 2020 Filed Mar 19, 2020 23:56 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | PurchaseCommon Stock | 1,000 | $9.50 | $9,500.00 |
DisclosureSEC source: 0001140361-20-006375 · form4.xml · nonDerivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 6,675 Read SEC document |
| February 10, 2020 Filed Feb 10, 2020 22:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $23.89 | $0.00 |
DisclosureSEC source: 0001209191-20-008013 · doc4.xml · derivative · entry 2 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-02-10 F2 · derivative.exercise_date: This option represents a right to purchase a total of 15,000 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 06, 2020 Filed Feb 10, 2020 22:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $22.72 | $0.00 |
DisclosureSEC source: 0001209191-20-008013 · doc4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2030-02-06 F1 · derivative.exercise_date: This option represents a right to purchase a total of 150,000 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 20:22 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $10.85 | $0.00 |
DisclosureSEC source: 0001209191-19-048188 · doc4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-09-02 F1 · derivative.exercise_date: This option represents a right to purchase a total of 50,000 shares of the Issuer's Common Stock, 16,672 of which will become fully vested and exercisable on September 2, 2020, with the remaining 33,328 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 |
| January 28, 2019 Filed Jan 30, 2019 23:29 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 180,000 | $0.00 Strike: $14.56 | $0.00 |
DisclosureSEC source: 0001140361-19-002000 · form4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,000 Underlying: Common Stock · 180,000 shares Expires 2029-01-28 F1 · derivative.exercise_date: This option represents a right to purchase a total of 180,000 shares of the Issuer's Common Stock, 60,000 of which will become fully vested and exercisable on January 28, 2020, with the remaining 120,000 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 |
| December 20, 2018 Filed Dec 21, 2018 22:00 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionStock Option (Right to Buy) · Derivative | 55,869 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001140361-18-045651 · form4.xml · derivative · entry 4 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,738 Underlying: Common Stock · 55,869 shares Expires 2026-04-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option represents a right to purchase a total of 167,607 shares of the Issuer's Common Stock 56,072 of which became fully vested and exercisable on April 18, 2017, with the remaining 111,535 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 20, 2018 Filed Dec 21, 2018 22:00 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 55,869 | $1.21 | $67,601.49 |
DisclosureSEC source: 0001140361-18-045651 · form4.xml · nonDerivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,869 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 |
| December 06, 2018 Filed Dec 10, 2018 22:01 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | PurchaseCommon Stock | 5,675 | $14.98 | $85,011.50 |
DisclosureSEC source: 0001140361-18-044847 · form4.xml · nonDerivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 5,675 Read SEC document |
| August 17, 2018 Filed Apr 26, 2019 20:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionStock Option (Right to Buy) · Derivative | 55,869 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001140361-19-007695 · form5.xml · derivative · entry 4 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,738 Underlying: Common Stock · 55,869 shares Expires 2026-04-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option represents a right to purchase a total of 167,607 shares of the Issuer's Common Stock 56,072 of which became fully vested and exercisable on April 18, 2017, with the remaining 111,535 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer. F4 · balance_after: Reflects the number of derivative securities beneficially owned following the transaction reported herein. The derivative securities that the reporting person beneficially owned were overstated by 55,869 derivative securities in the reporting person's Form 4 filed on December 21, 2018. Read SEC document |
| August 17, 2018 Filed Apr 26, 2019 20:06 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | Exercise / conversionCommon Stock | 55,869 | $1.21 | $67,601.49 |
DisclosureSEC source: 0001140361-19-007695 · form5.xml · nonDerivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,738 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Reflects the total number of shares owned by the reporting person as of December 31, 2018 and as of the date hereof. The reporting person inadvertently failed to previously report the transaction reported herein. As a result, the shares that the reporting person held directly were understated by 55,869 shares in the reporting person's Form 4 report filed on December 21, 2018. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 00:08 UTC | ROCKET PHARMACEUTICALS, INC. RCKT · Entity 5627 | GrantStock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $18.75 | $0.00 |
DisclosureSEC source: 0000899243-18-009113 · doc4.xml · derivative · entry 1 Patel Kinnari · CIK 0001725929 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2028-03-29 F1 · derivative.exercise_date: This option represents a right to purchase a total of 175,000 shares of the Issuer's Common Stock, 58,336 of which will become fully vested and exercisable on March 29, 2019, with the remaining 116,664 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.