| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| WONG RODERICK | Director, 10%+ Owner | C/O ROCKET PHARMACEUTICALS, INC., 9 CEDARBROOK DRIVE, CRANBURY | /s/ Martin Wilson, as attorney-in-fact for Roderick Wong | 2025-07-18 | 0001493280 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RCKT | Common Stock | Award | $0 | +30K | $0.00 | 30K | Jun 18, 2025 | Direct | F1 | |
| transaction | RCKT | Common Stock | Award | $0 | +17.7K | +58.89% | $0.00 | 47.7K | Jun 18, 2025 | Direct | F2 |
| holding | RCKT | Common Stock | 18.2M | Jun 18, 2025 | See footnote | F3 |
| Id | Content |
|---|---|
| F1 | Represents restricted stock units ("RSUs") that convert to common stock on a one-for-one basis. The RSUs will vest in full on June 18, 2026. |
| F2 | Represents RSUs issued to the Reporting Person in lieu of director retainer fees of $50,000. The RSUs will vest in full on June 18, 2026. |
| F3 | Represents shares held by certain investment funds managed by RTW Investments, LP (the "Adviser"). The Reporting Person serves as the Managing Partner and Chief Investment Officer of the Adviser and is a director of the Issuer and Chairman of the Issuer's Board of Directors. |