0001140361-22-012779.txt : 20220404
0001140361-22-012779.hdr.sgml : 20220404
20220404073727
ACCESSION NUMBER: 0001140361-22-012779
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220330
FILED AS OF DATE: 20220404
DATE AS OF CHANGE: 20220404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Schwartz Jonathan David
CENTRAL INDEX KEY: 0001726398
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 22800382
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/A
1
form4.xml
FORM 4/A
X0306
4/A
2022-03-30
2022-04-01
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001726398
Schwartz Jonathan David
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
CRANBURY
NJ
08512
true
See Remarks
Common Stock
2022-03-30
4
S
0
10562
15.94
D
213967
D
Common Stock
2022-03-30
4
S
0
34438
16.56
D
179529
D
Common Stock
2022-03-31
4
S
0
9002
15.9
D
170527
D
Common Stock
2022-03-31
4
S
0
35998
16.15
D
134529
D
Common Stock
2022-04-01
4
S
0
12974
15.86
D
121555
D
Common Stock
2022-04-01
4
S
0
32026
16.2
D
89529
D
This amendment is being filed to amend and restate the footnote (1) in the original Form 4, filed on April 1, 2022, in its entirety as follows: "The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021, as modified (the "10b5-1 Plan"), under which the reporting person has irrevocably elected to satisfy the tax obligations through these sales and do not represent discretionary trades by the reporting person."
The original Form 4, filed on April 1, 2022, is being amended by this amendment to include additional transactions that were effected pursuant to the 10b5-1 Plan on March 31, 2022 and April 1, 2022.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.87 to $15.99, inclusive. The reporting person undertakes to provide to Rocket Pharmaceuticals, Inc., any securityholder of Rocket Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3, 4, 5, 6, 7 and 8 to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.95, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.83 to $15.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $15.70 to $15.99, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $16.00 to $16.45, inclusive.
Chief Medical Officer & Clinical Development, SVP.
/s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz
2022-04-04