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