0001140361-23-008099.txt : 20230222 0001140361-23-008099.hdr.sgml : 20230222 20230222192547 ACCESSION NUMBER: 0001140361-23-008099 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230214 FILED AS OF DATE: 20230222 DATE AS OF CHANGE: 20230222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Militello John CENTRAL INDEX KEY: 0001662170 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 23655361 MAIL ADDRESS: STREET 1: C/O IMMUNE PHARMACEUTICALS INC. STREET 2: 430 EAST 29TH STREET, SUITE 940 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 X0306 4/A 2023-02-14 2023-02-16 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001662170 Militello John C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true See Remarks Common Stock 2023-02-14 4 M 0 2858 0 A 2858 D Stock Option (Right to Buy) 20.04 2023-02-14 4 A 0 49798 0 A 2033-02-13 Common Stock 49798 49798 D Restricted Stock Units 2023-02-14 4 A 0 16616 0 A Common Stock 16616 16616 D Restricted Stock Units 2023-02-14 4 M 0 2858 0 A Common Stock 2858 5803 D The original Form 4, filed on February 16, 2023, is being amended by this amendment to include the vesting of restricted stock units that took place on February 14, 2023. Represents shares of Common Stock received upon vesting of a restricted stock unit award. This option represents a right to purchase a total of 49,798 shares of the Issuer's common stock, one-third (1/3) of which will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. One-third (1/3) of such restricted stock units will become fully vested and exercisable on February 14, 2024, with the remaining shares vesting in equal quarterly installments over the following two years. One-third (1/3) of such restricted stock units became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years. VP, Principal Accounting Officer and Interim Principal Financial Officer /s/ Martin Wilson, as attorney-in-fact for John Militello 2023-02-22