0001140361-24-026878.txt : 20240520 0001140361-24-026878.hdr.sgml : 20240520 20240520163307 ACCESSION NUMBER: 0001140361-24-026878 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: Shah Gaurav CENTRAL INDEX KEY: 0001725922 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 24965105 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 0001725922 Shah Gaurav C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true true CEO false Common Stock 2024-05-14 4 M 0 7979 0 A 636451 D Common Stock 2024-05-14 4 M 0 9683 0 A 646134 D Common Stock 2022-02-14 4 J 0 23940 0 A 670074 D Common Stock 2023-02-14 4 J 0 67785 0 A 737859 D Common Stock 2024-05-16 4 S 0 9790 23.35 D 728069 D Common Stock 207897 I By Spouse Common Stock 198341 I By Gaurav D. Shah Irrevocable Trust Restricted Stock Units 2024-05-14 4 M 0 7979 0 D Common Stock 7979 23940 D Restricted Stock Units 2024-05-14 4 M 0 9683 0 D Common Stock 9683 67785 D Restricted Stock Units 2022-02-14 4 J 0 23940 0 D Common Stock 28763 0 D Restricted Stock Units 2023-02-14 4 J 0 67785 0 D Common Stock 16947 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. 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. Each RSU represents a contingent right to receive one share of the Issuer's common stock. /s/ Martin Wilson, as attorney-in-fact for Gaurav Shah 2024-05-20