Gaurav Shah - Aug 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: Aug 14, 2023
Transactions value $: $0
Form type: 4
Date filed: 8/15/2023, 04:06 PM
Previous filing: Jun 14, 2023
Next filing: Aug 21, 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	+1.53%	$0.00	530K	Aug 14, 2023	Direct	F1
holding	RCKT	Common Stock						208K	Aug 14, 2023	By Spouse
holding	RCKT	Common Stock						198K	Aug 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	-14.28%	$0.00	47.9K	Aug 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.