0001140361-24-029438.txt : 20240610 0001140361-24-029438.hdr.sgml : 20240610 20240610103456 ACCESSION NUMBER: 0001140361-24-029438 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240321 FILED AS OF DATE: 20240610 DATE AS OF CHANGE: 20240610 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Makker Gotham CENTRAL INDEX KEY: 0001726391 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36829 FILM NUMBER: 241031714 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/A 1 form4.xml FORM 4/A X0508 4/A 2024-03-21 2024-03-25 0001281895 ROCKET PHARMACEUTICALS, INC. RCKT 0001726391 Makker Gotham C/O ROCKET PHARMACEUTICALS, INC. 9 CEDARBROOK DRIVE CRANBURY NJ 08512 true false Common Stock 2024-03-21 4 S 0 274000 28.4341 D 365912 I By Simran Investment Group Common Stock 621500 I By Non-Revocable Trust The securities may be deemed beneficially owned by Gotham Makker, M.D., who serves as the Chief Executive Officer and Chief Investment Officer of Simran Investment Group and who is a director of the Issuer. Dr. Makker exercises voting and dispositive control over the securities held by Simran Investment Group and is therefore deemed be the beneficial owner of securities owned or controlled by Simran Investment Group. Notwithstanding the foregoing, Dr. Makker disclaims personal beneficial ownership of the reported securities held by Simran Investment Group, except to the extent of his pecuniary interest therein. This Form 4 corrects an error on the original Form 4 filed on March 25, 2024, which omitted shares of the issuer's common stock held by a non-revocable trust for the benefit of the reporting person's children that should have been included on the original Form 4. The securities may be deemed to be beneficially owned by the reporting person and are held by a non-revocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust. /s/ Martin Wilson, as attorney-in-fact 2024-06-10