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