Gotham Makker - Sep 28, 2023 Form 4 Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director
Signature
/s/ Martin Wilson, as attorney-in-fact
Stock symbol
RCKT
Transactions as of
Sep 28, 2023
Transactions value $
-$315,744
Form type
4
Date filed
10/2/2023, 09:02 PM
Previous filing
Jun 26, 2023
Next filing
Nov 16, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Sale -$217K -10.3K -0.77% $21.03 1.32M Sep 28, 2023 By Simran Investment Group F1, F2, F3
transaction RCKT Common Stock Sale -$98.9K -4.68K -0.35% $21.14 1.32M Sep 29, 2023 By Simran Investment Group F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares beneficially owned by the reporting person are subject to a lock-up agreement dated September 12, 2023 (the "Lock-Up Agreement").
F2 The shares were sold by the reporting person pursuant to an exemption to the Lock-Up Agreement in order to pay certain tax obligations. Notwithstanding the sales reported on this Form 4, the securities beneficially owned by the reporting person remain subject to the terms of the Lock-Up Agreement.
F3 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.