Gotham Makker - Mar 21, 2024 Form 4/A Insider Report for ROCKET PHARMACEUTICALS, INC. (RCKT)

Role
Director
Signature
/s/ Martin Wilson, as attorney-in-fact
Stock symbol
RCKT
Transactions as of
Mar 21, 2024
Transactions value $
-$7,790,943
Form type
4/A
Date filed
6/10/2024, 10:34 AM
Date Of Original Report
Mar 25, 2024
Previous filing
Nov 16, 2023
Next filing
Jun 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RCKT Common Stock Sale -$7.79M -274K -42.82% $28.43 366K Mar 21, 2024 By Simran Investment Group F1
holding RCKT Common Stock 622K Mar 21, 2024 By Non-Revocable Trust F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 This Form 4 corrects an error on the original Form 4 filed on March 25, 2024, which omitted shares of the issuer's common stock held by a non-revocable trust for the benefit of the reporting person's children that should have been included on the original Form 4.
F3 The securities may be deemed to be beneficially owned by the reporting person and are held by a non-revocable trust for the benefit of the reporting person's children. The reporting person has no voting or investment power over all securities owned by the trust.