0000899243-18-001102.txt : 20180116 0000899243-18-001102.hdr.sgml : 20180116 20180116200332 ACCESSION NUMBER: 0000899243-18-001102 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180104 FILED AS OF DATE: 20180116 DATE AS OF CHANGE: 20180116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwartz Jonathan David CENTRAL INDEX KEY: 0001726398 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 18529613 MAIL ADDRESS: STREET 1: 430 EAST 29TH STREET STREET 2: SUITE 1040 CITY: NEW YORK STATE: NY ZIP: 10016 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: 430 EAST 29TH STREET STREET 2: SUITE 1040 CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-440-9100 MAIL ADDRESS: STREET 1: 430 EAST 29TH STREET STREET 2: SUITE 1040 CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: INOTEK PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20040226 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-01-04 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001726398 Schwartz Jonathan David C/O ROCKET PHARMACEUTICALS, INC. 430 EAST 29TH STREET, SUITE 1040 NEW YORK NY 10016 0 1 0 0 Chief Medical Officer Stock Option (Right to Buy) 1.21 2026-02-08 Common Stock 251410 D Stock Option (Right to Buy) 1.70 2027-04-12 Common Stock 11427 D All numbers give effect to the 1:4 reverse stock split effected by the Issuer on January 4, 2018. 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. This option represents a right to purchase a total of 11,427 shares of the Issuer's Common Stock 4,113 of which will become fully vested and exercisable on April 12, 2018, with the remaining 7,314 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer. Exhibit 24 - Power of Attorney /s/ Alice Lee, as attorney-in-fact for Jonathan Schwartz 2018-01-16 EX-24 2 attachment1.htm EX-24 DOCUMENT

                                 POWER OF ATTORNEY


    Know all by these presents that the undersigned hereby constitutes and
appoints Ryan A. Murr and Alice Lee as the undersigned's true and lawful
attorney-in-fact to:

    (1) prepare, execute in the undersigned's name and on the undersigned's
        behalf, and submit to the U.S. Securities and Exchange Commission (the
        "SEC") a Form ID, including amendments thereto, and any other documents
        necessary or appropriate to obtain codes, passwords, and passphrases
        enabling the undersigned to make electronic filings with the SEC of
        reports required by the Securities Exchange Act of 1934 or any rule or
        regulation of the SEC;

    (2) execute for and on behalf of the undersigned, in the undersigned's
        capacity as an officer of Rocket Pharmaceuticals, Inc. (the "Company"),
        Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities
        Exchange Act of 1934 and the rules thereunder;

    (3) do and perform any and all acts for and on behalf of the undersigned
        which may be necessary or desirable to complete and execute any such
        Form 3, 4, or 5, complete and execute any amendment or amendments
        thereto, and timely file such form with the SEC and any securities
        exchange or similar authority; and

    (4) take any other action of any type whatsoever in connection with the
        foregoing which, in the opinion of such attorney-in-fact, may be of
        benefit to, in the best interest of, or legally required by, the
        undersigned, it being understood that the documents executed by such
        attorney-in-fact on behalf of the undersigned pursuant to this Power of
        Attorney shall be in such form and shall contain such terms and
        conditions as such attorney-in-fact may approve in such attorney-in-
        fact's discretion.

    The undersigned hereby grants to the attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned also ratifies hereby any action previously taken by
the attorney-in-fact that would have been authorized by this power of attorney
if it has been in effect at the time such action was taken.  The undersigned
acknowledges that the foregoing attorney-in-fact, in serving in such capacity at
the request of the undersigned, is not assuming, nor is the Company assuming,
any of the undersigned's responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934, as amended.

    This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.

    IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to  be
executed as of December 20, 2017.




                                        /s/ Jonathan Schwartz
                                        -------------------------------
                                        Name:  Jonathan Schwartz