Gotham Makker - Jun 16, 2021 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role: Director
Signature: /s/ Sara Turken, as attorney-in-fact
Stock symbol: RCKT
Transactions as of: Jun 16, 2021
Transactions value $: -$1,643,693
Form type: 4
Date filed: 6/21/2021, 04:52 PM
Previous filing: Jun 16, 2021
Next filing: Mar 9, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	RCKT	Common Stock	Sale	-$1.62M	-34.7K	-2.6%	$46.85	1.3M	Jun 16, 2021	By Simran Investment Group	F1
transaction	RCKT	Common Stock	Sale	-$18.9K	-400	-0.03%	$47.13	1.3M	Jun 17, 2021	By Simran Investment Group	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The securities reported herein were sold to cover certain tax liabilities. 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.

Content

The securities reported herein were sold to cover certain tax liabilities. 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.