0001140361-24-026871.txt : 20240520 0001140361-24-026871.hdr.sgml : 20240520 20240520162625 ACCESSION NUMBER: 0001140361-24-026871 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240514 FILED AS OF DATE: 20240520 DATE AS OF CHANGE: 20240520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Kinnari CENTRAL INDEX KEY: 0001725929 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 24964976 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] 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 2024-05-14 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 2024-05-14 4 M 0 3990 0 A 296291 D Common Stock 2024-05-14 4 M 0 5553 0 A 301824 D Common Stock 2022-02-14 4 J 0 11970 0 A 313794 D Common Stock 2022-08-12 4 J 0 52489 0 A 366283 D Common Stock 2023-02-14 4 J 0 38735 0 A 405018 D Common Stock 2024-05-16 4 S 0 4046 23.35 D 400972 D Common Stock 5675 I By Spouse Common Stock 104927 I By Adaptive Technology LLC Restricted Stock Units 2024-05-14 4 M 0 3990 0 D Common Stock 3990 11970 D Restricted Stock Units 2024-05-14 4 M 0 5533 0 D Common Stock 5533 38735 D Restricted Stock Units 2022-02-14 4 J 0 11970 0 D Common Stock 11970 0 D Restricted Stock Units 2022-08-12 4 J 0 52489 0 D Common Stock 52489 0 D Restricted Stock Units 2023-02-14 4 J 0 38735 0 D Common Stock 38735 0 D Represents RSUs initially granted on February 14, 2022. 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. Represents RSUs initially granted on February 14, 2023. 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. 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. Represents RSUs initially granted on August 12, 2022, which vest in full on August 12, 2025. The shares of common stock were sold by the Reporting Person in order to pay tax withholding obligations in connection with the vesting of RSUs. 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 RSU represents a contingent right to receive one share of the Issuer's common stock. President, Head of R&D and Chief Operating Officer /s/ Martin Wilson, as attorney-in-fact for Kinnari Patel 2024-05-20