0001140361-23-008101.txt : 20230222 0001140361-23-008101.hdr.sgml : 20230222 20230222192559 ACCESSION NUMBER: 0001140361-23-008101 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: Schwartz Jonathan David CENTRAL INDEX KEY: 0001726398 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 23655364 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 X0306 4/A 2023-02-14 2023-02-16 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 2023-02-14 4 M 0 8574 0 A 98103 D Stock Option (Right to Buy) 20.04 2023-02-14 4 A 0 124496 0 A 2033-02-13 Common Stock 124496 124496 D Restricted Stock Units 2023-02-14 4 A 0 41541 0 A Common Stock 41541 41541 D Restricted Stock Units 2023-02-14 4 M 0 8574 0 A Common Stock 8574 17410 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 124,496 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. Chief Medical Officer & Clinical Development, SVP /s/ Martin Wilson, as attorney-in-fact for Jonathan David Schwartz 2023-02-22