0001140361-23-046452.txt : 20231002
0001140361-23-046452.hdr.sgml : 20231002
20231002210227
ACCESSION NUMBER: 0001140361-23-046452
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230928
FILED AS OF DATE: 20231002
DATE AS OF CHANGE: 20231002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Makker Gotham
CENTRAL INDEX KEY: 0001726391
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 231301354
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
X0508
4
2023-09-28
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001726391
Makker Gotham
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
CRANBURY
NJ
08512
true
false
Common Stock
2023-09-28
4
S
0
10312
21.0318
D
1321174
I
By Simran Investment Group
Common Stock
2023-09-29
4
S
0
4677
21.1383
D
1316497
I
By Simran Investment Group
The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").
The shares were sold by the reporting person pursuant to an exemption to the Lock-Up Agreement in order to pay certain tax obligations. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.
The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein.
/s/ Martin Wilson, as attorney-in-fact
2023-10-02