Gaurav Shah - May 14, 2023 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
CEO, Director
Signature
/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah
Stock symbol
RCKT
Transactions as of
May 14, 2023
Transactions value $
$0
Form type
4
Date filed
5/16/2023, 08:04 PM
Previous filing
Feb 22, 2023
Next filing
May 19, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Options Exercise $0 +7.98K +1.54% $0.00 526K May 14, 2023 Direct F1
holding RCKT Common Stock 208K May 14, 2023 By Spouse
holding RCKT Common Stock 198K May 14, 2023 By Gaurav D. Shah Irrevocable Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RCKT Restricted Stock Units Options Exercise $0 -7.98K -12.5% $0.00 55.9K May 14, 2023 Common Stock 7.98K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock received upon vesting of a restricted stock unit ("RSU") award.
F2 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F3 One-third (1/3) of such RSUs became fully vested and exercisable on February 14, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.