0001140361-21-011312.txt : 20210401 0001140361-21-011312.hdr.sgml : 20210401 20210401210838 ACCESSION NUMBER: 0001140361-21-011312 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210330 FILED AS OF DATE: 20210401 DATE AS OF CHANGE: 20210401 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: 21800328 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 2021-03-30 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725922 Shah Gaurav C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true true CEO Common Stock 2021-03-30 4 F 0 19984 41.7999 D 614092 D Common Stock 2021-03-30 4 F 0 8667 42.7952 D 594108 D Common Stock 2021-03-30 4 F 0 48732 43.8552 D 545376 D Common Stock 2021-03-30 4 F 0 8505 44.3392 D 536871 D Common Stock 2021-03-31 4 M 0 75880 1.69 A 612751 D Common Stock 2021-03-31 4 F 0 3000 45.59 D 609751 D Common Stock 2021-03-31 4 F 0 61350 44.2432 D 548401 D Common Stock 2021-03-31 4 F 0 23003 45.0618 D 525398 D Common Stock 207897 I By Spouse Common Stock 198341 I By Gaurav D. Shah Irrevocable Trust Stock Option (Right to Buy) 1.69 2021-03-31 4 M 0 75880 0 D 2027-04-12 Common Stock 75880 0 D The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. These sales are made pursuant to an existing 10b5-1 plan entered into in April 2020 under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. The shares reported herein represent less than 10% of the Reporting Person's holdings This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $41.165 to $42.15. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $42.245 to $43.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.24 to $44.23. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.24 to $44.56. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. 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. These shares were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options and the tax liability This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $43.67 to $44.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed pursuant to a Rule 10b5-1 trading plan in multiple trades at prices ranging from $44.67 to $45.66. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. This option is fully vested and exercisable. /s/ Sara Turken, as attorney-in-fact for Gaurav Shah 2021-04-01