0001140361-23-049079.txt : 20231020
0001140361-23-049079.hdr.sgml : 20231020
20231020183746
ACCESSION NUMBER: 0001140361-23-049079
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230217
FILED AS OF DATE: 20231020
DATE AS OF CHANGE: 20231020
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: 231337995
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
X0508
4/A
2023-02-17
2023-02-22
0001281895
ROCKET PHARMACEUTICALS, INC.
RCKT
0001662170
Militello John
C/O ROCKET PHARMACEUTICALS, INC.
9 CEDARBROOK DRIVE
CRANBURY
NJ
08512
true
See Remarks
false
Common Stock
2023-02-17
4
S
0
1076
19.06
D
1782
D
Common Stock
2023-10-18
4
M
0
1586
0
A
9324
D
Restricted Stock Units
2023-10-18
4
M
0
1586
0
D
Common Stock
1586
9518
D
This Form 4 corrects an error on the original Form 4 filed on February 22, 2023. The original Form 4 stated that the Reporting Person sold 1,244 shares of the Issuer's common stock to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The Reporting Person sold 1,076 shares of the Issuer's common stock on February 17, 2023 to cover tax withholding obligations in connection with the vesting of RSUs.
The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4.
This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
Represents shares of Common Stock received upon vesting of an RSU award.
Each RSU 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 April 18, 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
2023-10-20