John Militello - Feb 17, 2023 Form 4/A - Amendment Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role: VP, Principal Accounting Officer and Interim Principal Financial Officer
Signature: /s/ Martin Wilson, as attorney-in-fact for John Militello
Stock symbol: RCKT
Transactions as of: Feb 17, 2023
Transactions value $: -$20,509
Form type: 4/A - Amendment
Date filed: 10/20/2023, 06:37 PM
Date Of Original Report: Feb 22, 2023
Previous filing: Feb 22, 2023
Next filing: Apr 20, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	RCKT	Common Stock	Sale	-$20.5K	-1.08K	-37.65%	$19.06	1.78K	Feb 17, 2023	Direct	F1, F2, F3
transaction	RCKT	Common Stock	Options Exercise	$0	+1.59K	+20.5%	$0.00	9.32K	Oct 18, 2023	Direct	F2, F4

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	-1.59K	-14.28%	$0.00	9.52K	Oct 18, 2023	Common Stock	1.59K		Direct	F5, F6

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

Explanation of Responses:

Id	Content
F1	This Form 4 corrects an error on the original Form 4 filed on February 22, 2023. The original Form 4 stated that the Reporting Person sold 1,244 shares of the Issuer's common stock to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person. The Reporting Person sold 1,076 shares of the Issuer's common stock on February 17, 2023 to cover tax withholding obligations in connection with the vesting of RSUs.
F2	The error in the original Form 4 was carried through in Column 5 of Table 1 in subsequent filings but is corrected in the total amount of securities owned in this Form 4.
F3	This transaction was executed in multiple brokered trades at prices ranging from $18.735 to $19.195. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
F4	Represents shares of Common Stock received upon vesting of an RSU award.
F5	Each RSU represents a contingent right to receive one share of the Issuer's common stock.
F6	One-third (1/3) of such RSUs became fully vested and exercisable on April 18, 2023, with the remaining shares vesting in equal quarterly installments over the following two years.

Remarks:

VP, Principal Accounting Officer and Interim Principal Financial Officer