0001140361-21-005130.txt : 20210216 0001140361-21-005130.hdr.sgml : 20210216 20210216215727 ACCESSION NUMBER: 0001140361-21-005130 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRANADILLO PEDRO P CENTRAL INDEX KEY: 0001217544 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 21642458 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKET PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001281895 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 350 FIFTH AVENUE STREET 2: SUITE 7530 CITY: NEW YORK STATE: NY ZIP: 10118 BUSINESS PHONE: 646-440-9100 MAIL ADDRESS: STREET 1: 350 FIFTH AVENUE STREET 2: SUITE 7530 CITY: NEW YORK STATE: NY ZIP: 10118 FORMER COMPANY: FORMER CONFORMED NAME: INOTEK PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20040226 5 1 form5.xml FORM 5 X0306 5 2020-12-31 0 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001217544 GRANADILLO PEDRO P C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true Stock Option (Right to Buy) 14.56 2020-12-28 5 G 0 30000 0 D 2029-01-28 Common Stock 30000 0 D Stock Option (Right to Buy) 14.56 2020-12-28 5 G 0 30000 0 A 2029-01-28 Common Stock 30000 30000 I By Ann Granadillo Lowe 2020 Revocable Trust dated 12/28/2020 Stock Option (Right to Buy) 18.75 2020-12-28 5 G 0 40000 0 D 2028-03-29 Common Stock 40000 0 D Stock Option (Right to Buy) 18.75 2020-12-28 5 G 0 40000 0 A 2028-03-29 Common Stock 40000 40000 I By Ann Granadillo Lowe 2020 Revocable Trust dated 12/28/2020 Stock Option (Right to Buy) 19.9 2020-12-28 5 G 0 20000 0 D 2030-06-16 Common Stock 20000 0 D Stock Option (Right to Buy) 19.9 2020-12-28 5 G 0 20000 0 A 2030-06-16 Common Stock 20000 20000 I By Paul Andrew Granadillo 2020 Irrevocable Trust dated 12/28/2020 This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which are currently vested and exercisable. This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 37,778 of which are currently vested and exercisable, with the remaining 2,222 shares vesting in equal monthly installments on each of February 28, 2021 and March 29, 2021. This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021. /s/ Sara Turken, Attorney-in-Fact 2021-02-16