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