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