0001140361-23-025131.txt : 20230516 0001140361-23-025131.hdr.sgml : 20230516 20230516195709 ACCESSION NUMBER: 0001140361-23-025131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230514 FILED AS OF DATE: 20230516 DATE AS OF CHANGE: 20230516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Kinnari CENTRAL INDEX KEY: 0001725929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 23929330 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 X0407 4 2023-05-14 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001725929 Patel Kinnari C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true See Remarks false Common Stock 2023-05-14 4 M 0 3989 0 A 215323 D Common Stock 5675 I By Spouse Common Stock 98261 I By Adaptive Technology LLC Restricted Stock Units 2023-05-14 4 M 0 3989 0 D Common Stock 3989 27982 D Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award. The shares are held indirectly through Adaptive Technology, LLC, a limited liability company that is owned and managed by the reporting person's husband. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years. President & Chief Operating Officer /s/ Martin Wilson, as attorney-in-fact for Kinnari Patel 2023-05-16