0001140361-24-015101.txt : 20240325 0001140361-24-015101.hdr.sgml : 20240325 20240325205459 ACCESSION NUMBER: 0001140361-24-015101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240321 FILED AS OF DATE: 20240325 DATE AS OF CHANGE: 20240325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Militello John CENTRAL INDEX KEY: 0001662170 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 24780734 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] ORGANIZATION NAME: 03 Life Sciences 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 FORM 4 X0508 4 2024-03-21 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 2022-02-14 4 J 0 2903 0 A 24420 D Common Stock 2022-04-18 4 J 0 7932 0 A 32352 D Common Stock 2022-08-12 4 J 0 14310 0 A 46662 D Common Stock 2023-02-14 4 J 0 11067 0 A 57729 D Common Stock 2024-03-21 4 S 0 2490 28.104 D 55239 D Restricted Stock Units 2022-02-14 4 J 0 2903 0 A Common Stock 2903 0 D Restricted Stock Units 2022-04-18 4 J 0 7932 0 A Common Stock 7932 0 D Restricted Stock Units 2022-08-12 4 J 0 14310 0 A Common Stock 14310 0 D Restricted Stock Units 2023-02-14 4 J 0 11067 0 A Common Stock 2903 0 D Represents Restricted Stock Units ("RSUs") that are settled in shares of common stock on a one-for-one basis upon vesting. These RSUs were initially reported on Table II and, in accordance with SEC guidance, are now being reported on Table I. This Form 4 updates the filing history of the Reporting Person to include such RSUs on Table I and does not reflect the award of new RSUs. One-third (1/3) of such RSUs vest upon the one-year anniversary of the grant, with the remaining shares vesting in equal quarterly installments over the following two years. Vests in full on August 12, 2025. The shares of common stock were sold by the Reporting Person in order to pay tax obligations in connection with the vesting of RSUs over the course of 2023. Each RSU represents a contingent right to receive one share of the Issuer's common stock. VP, Principal Accounting Officer and Interim Principal Financial Officer /s/ Martin Wilson, as attorney-in-fact for John Militello 2024-03-25