0001140361-20-007081.txt : 20200326
0001140361-20-007081.hdr.sgml : 20200326
20200326194829
ACCESSION NUMBER: 0001140361-20-007081
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200324
FILED AS OF DATE: 20200326
DATE AS OF CHANGE: 20200326
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shah Gaurav
CENTRAL INDEX KEY: 0001725922
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 20747553
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: 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
4
1
form4.xml
FORM 4
X0306
4
2020-03-24
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001725922
Shah Gaurav
C/O ROCKET PHARMACEUTICALS, INC.
350 FIFTH AVENUE, SUITE 7530
NEW YORK
NY
10118
true
true
President & CEO
Common Stock
2020-03-24
4
M
0
90925
0.43
A
1061642
D
Common Stock
2020-03-24
4
F
0
32645
13.78
D
1028997
D
Stock Option (Right to Buy)
0.44
2020-03-24
4
M
0
90925
0
D
2020-12-15
Common Stock
90925
0
D
The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.
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,
The option is fully vested and immediately exercisable and will expire under its own terms this year.
/s/ Sara Turken, as attorney-in-fact for Gaurav Shah
2020-03-26