0001140361-21-005127.txt : 20210216 0001140361-21-005127.hdr.sgml : 20210216 20210216215536 ACCESSION NUMBER: 0001140361-21-005127 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: Shah Gaurav CENTRAL INDEX KEY: 0001725922 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 21642449 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 5 1 form5.xml FORM 5 X0306 5 2020-12-31 0 0 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725922 Shah Gaurav C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true true President & CEO Common Stock 2020-12-09 5 G 0 207897 0 D 821100 D Common Stock 2020-12-09 5 G 0 207897 0 A 207897 I By Spouse Common Stock 2020-12-18 5 G 0 126341 0 D 694759 D Common Stock 2020-12-18 5 G 0 126341 0 A 126341 I By: Gaurav D. Shah Irrevocable Trust Common Stock 2020-12-31 5 G 0 72000 0 D 622759 D Common Stock 2020-12-31 5 G 0 72000 0 A 198341 I By: Gaurav D. Shah Irrevocable Trust Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person. Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust. /s/ Sara Turken, Attorney-in-Fact 2021-02-16